Retail off exchange forex activities director. Registration of persons engaged in retail forex transactions. § Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors. § Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures commission merchants and introducing.

Retail off exchange forex activities director

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Retail off exchange forex activities director. See Investor Bulletin: Foreign Currency Exchange (Forex) Trading for Individual. Investors (July ) See Regulation of Off-Exchange Retail Foreign Exchange Transactions and. Intermediaries .. Association and James Kemp, Managing Director, Global Foreign Exchange Division, to. Thomas J. Curry.

Retail off exchange forex activities director


Click the tabs below to learn about the types of activity that require CFTC registration and how to register. An individual or organization that operates a commodity pool and solicits funds for that commodity pool. An entity that solicits or accepts orders to buy or sell futures contracts, options on futures, retail off-exchange forex contracts or swaps, and accepts money or other assets from customers to support such orders.

An individual or organization that solicits or accepts orders to buy or sell futures contracts, forex, commodity options, or swaps but does not accept money or other assets from customers to support these orders. See additional firm registrants. An individual who purchases or sells any futures contracts, options on futures or swaps on any contract market for any other person. A person who purchases or sells any futures contracts, options on futures or swaps on any contract market for such person's own account.

Access information regarding the failure to answer disciplinary information correctly or completely. Firms, floor brokers and floor traders can obtain copies of their registration records or filings using NFA's Online Registration System. Home Registration and Membership. Commodity Trading Advisor CTA An individual or organization that, for compensation or profit, advises others, directly or indirectly, as to the value of or the advisability of trading futures contracts, options on futures, retail off-exchange forex contracts or swaps.

Futures Commission Merchant FCM An entity that solicits or accepts orders to buy or sell futures contracts, options on futures, retail off-exchange forex contracts or swaps, and accepts money or other assets from customers to support such orders.

Introducing Broker IB An individual or organization that solicits or accepts orders to buy or sell futures contracts, forex, commodity options, or swaps but does not accept money or other assets from customers to support these orders. Floor Broker FB An individual who purchases or sells any futures contracts, options on futures or swaps on any contract market for any other person.

Floor Trader FT A person who purchases or sells any futures contracts, options on futures or swaps on any contract market for such person's own account. Register Online Begin the enrollment process. Security Manager Duties Understand the responsibilities of a security manager.

Templates and Forms Use these templates and forms to prepare for registration. Failure to Disclose Disciplinary Information on a Registration Application Access information regarding the failure to answer disciplinary information correctly or completely.

Obtaining Registration Records Firms, floor brokers and floor traders can obtain copies of their registration records or filings using NFA's Online Registration System.


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