Market regulation · 17/08/2001

Notice Registration as a Futures Commission Merchant or Introducing Broker for Certain Securities Brokers or Dealers

The Commodity Futures Trading Commission (CFTC) is amending its regulation to allow certain Securities and Exchange Commission (SEC)-registered brokers and dealers to register as futures commission merchants or introducing brokers without joining a registered futures association. This change is in line with the Commodity Futures Modernization Act of 2000 (CFMA).