Keywords:
Commodities
Commodities Dealer
Futures
Futures Dealer
| Federal |
Commodities Futures Trading Commission
Three Lafayette Centre
1155 21st Street, NW
Washington , DC 20581
(202)418-5000
Fax: (202)418-5521 |
| Companies and individuals who handle customer funds or give trading advice must apply for registration through the National Futures Association (NFA), a self-regulatory organization approved by the Commission. |
| The CFTC monitors registrant supervision systems, and internal controls and sales practice compliance programs. |
| Commodity exchanges also apply rules covering clearance of trades, trade orders and records, position limits, price limits, disciplinary actions, floor trading practices, and standards of business conduct. |
|
| Federal |
National Futures Association
200 W. Madison St., #1600
Chicago , IL 60606-3447
(312)781-1300
Fax: (312)781-1467 |
| With certain exceptions, all persons and organizations that intend to do business as futures professionals must register under the Commodity Exchange Act. |
| In addition, all individuals and firms that wish to conduct futures-related business with the public must apply for NFA Membership or Associate status. |
| NFA no longer accepts hardcopy versions of registration and membership forms, all of which must be filed electronically on NFA's web site. |
|
| State |
Colorado Department of Regulatory Agencies
Division of Securities
1560 Broadway, Suite 900
Denver , CO 80202
(303)894-2320
Fax: (303)861-2126 |
| Contact Division of Securities if not a commodities-only dealer. |
|
Wednesday, July 18, 2012 - 18:45 pm