Futures Commission Merchants (FCMs)

In 1984 the CFTC delegated the registration of Futures Commission Merchants to the National Futures Association (“NFA”).  See 49 FR 39593 (Oct. 9, 1984).  For details regarding the registration of Futures Commission Merchants, please visit the NFA website link here: https://www.nfa.futures.org/registration-membership/who-has-to-register/fcm.html

In addition, Futures Commission Merchants can find other resources on the Division of Swap Dealer and Intermediary Oversight (“DSIO”) webpage, link here: https://www.cftc.gov/About/CFTCOrganization/DSIOmission.html

DSIO resources include:

  • Advisories;
  • Guidance;
  • Staff No Action Letters;
  • Proposed Rules;
  • Final Rules;
  • Examination Priorities; and
  • Contact information regarding Senior Staff