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 Category1,2 | 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) | 137 |
| Retail Foreign Exchange Dealers (RFEDs) | 14 |
| Introducing Brokers (IBs) | 1,535 |
| Swap Dealers (SDs)3 | 0 |
| Major Swap Participants (MSPs)4 | 0 |
| TOTAL | 65,370 |
1 A person who is registered in more than one registration category is counted in each category. (back to text) 2 Source: NFA's Monthly Membership and Registration Report to CFTC as of September 30, 2011. (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) |
|