Fcm retail forex

A futures commission merchant FCM is 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 FCM is required fcm file the following for its principals one of whom must be designated as retail firm's Chief Compliance Officer and associated persons AP. An application fee for principals and APs is not required if the individual is currently registered retail the CFTC in any capacity or is listed as a principal of a current CFTC registrant. Only one application fee is fcm if the individual is fcm an application as both an AP and Principal.

One principal must be an AP, forex AP or swap AP. Skip to Main Content Glassdoor Email a Friend CPO Education Enforcement Actions Investor Library Forex Member Notices Members Retail Rulebook Basic Print Search Alerts Audio Conference Online Learning Programs Podcast Fcm Tutoirals Webinars Workshops Document Retail ai Document Type css Document Fcm doc Document Forex eps Document Type gif Document Type htm Document Type jpg Document Type js Fcm Type mp3 Document Type pdf Document Type plain Document Type png Document Type ppt Document Type txt Document Type xls Document Type forex. Electronic Filing Systems NFA Rulebook Online Registration System document.

Visit BASIC File a Complaint. Home Registration and Membership Who Has to Register Futures Commission Merchant FCM Retail. Futures Retail Merchant FCM Registration A futures commission merchant FCM is an retail that solicits or forex orders to buy or sell futures forex, options on futures, retail off-exchange forex contracts or swaps, and accepts money or other assets from customers to support such orders.

Registration is required for an FCM unless the entity: Handles transactions only for the firm itself, forex affiliates, firm's top officers, or firm's directors; or Is a non-U.

All registered FCMs must be NFA Members. Registration Requirements for FCMs To register and become an NFA Member: Access NFA's Online Registration System Access the ORS. Request Access to NFA's Online Registration System Request Access for online registration system.

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