Appendix 5 – The Commission and the Industry We Regulate (continued)
Number of Registrants
Companies and individuals who handle customer funds, solicit or accept orders, or give trading advice must apply for CFTC registration through the NFA, a registered futures association and an SRO with delegated authority from the Commission.
The Commission regulates the activities of 65,370 registrants.
| Registration Category2 | Number Registered |
|---|---|
| Associated Persons (APs) (Salespersons) | 52,369 |
| Commodity Pool Operators (CPOs) | 1,183 |
| Commodity Trading Advisors (CTAs) | 2,530 |
| Floor Brokers (FBs) | 6,316 |
| Floor Traders (FTs) | 1,286 |
| Futures Commission Merchants (FCMs) | 123 |
| Retail Foreign Exchange Dealers (RFEDs) | 14 |
| Introducing Brokers (IBs) | 1,535 |
| Swap Dealers (SDs)3 | 0 |
| Major Swap Participants (MSPs)4 | 0 |
| Total | 65,356 |
1 Source: NFA’s Monthly Membership and Registration Report to CFTC as of September 30, 2011. (back to text) 2 A person who is registered in more than one registration category is counted in each category. (back to text) 3 New registration category proposed by the Commission for certain entities engaged in swap transactions at 75 Fed. Reg. 71379 (November 23, 2010). (back to text) 4 New registration category proposed by the Commission for certain entities engaged in swap transactions at 75 Fed. Reg. 71379 (November 23, 2010). (back to text) |
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