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Futures Commission Merchants (FCMs) This partial list reflects only those FCMs who have consented to be contacted by clients who wish to trade Bitcoin futures, Bitcoin options, and Ether futures. Overall, there are more than 2 dozen FCMs who support the clearing of CME Bitcoin future and more than 1 dozen who support the clearing of CME Bitcoin. The Commodity Exchange Act requires all futures commission merchants (FCMs) and introducing brokers (IBs) to register as such, unless they qualify for an exemption, e.g.: A firm handling transactions only for proprietary persons (such as the firm itself, affiliates, top officers, or directors) need not register as an FCM. A non-U.S. firm with only. 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. To register as an FCM, visit the FCM registration page. 09/01/ · FCMs that aiSource uses to house its clients’ accounts all fall between spots twelve through forty: R.J. O’Brien, (#13), FC Stone (#21), Marex North American (#25), Advantage Futures (#33), Gain Capital Group (#35) and Dorman Trading (#36).Estimated Reading Time: 2 mins.

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Below is a listing of certain annual requirements for futures commission merchants FCM. This list serves as a reminder of certain yearly requirements and does not reflect all FCM responsibilities. Home Members FCM Regulatory Obligations Annual Requirements. Annual Requirements Below is a listing of certain annual requirements for futures commission merchants FCM. Cybersecurity Review the FCM’s written information systems security program ISSP using either in-house staff with appropriate knowledge or by engaging an independent third-party information security specialist.

Provide training to employees upon hiring, at least annually thereafter, and more frequently if circumstances warrant. Questionnaires and Updates Complete NFA’s Annual Questionnaire on the FCM’s membership anniversary date using NFA’s Annual Questionnaire system. Complete the electronic Annual Registration Update in NFA’s Online Registration System ORS when notified through NFA’s Dashboard. Complete NFA’s Self-Examination Questionnaire.

Reports and Exemptions Send the FCM’s Privacy Policy to participants. See Appendix D of the Self-Examination Questionnaire for details. Review your Point of Contact information for USA PATRIOT Act a information requests and notify NFA of any changes. Contact active customers who are individuals, at least annually, to verify that the information obtained from that customer under NFA Compliance Rule c remains materially accurate, and provide the customer with an opportunity to correct and complete the information.

If the customer notifies you of any material changes to the information, assess whether additional risk disclosure is required to be provided to the customer based on the changed information.

fcm futures commission merchant list

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NFA Members must comply with NFA rules and CFTC regulations. Visit the following pages to understand a futures commission merchant’s FCM regulatory obligations. The information presented here is intended to call attention to key compliance issues. This is not a complete list of requirements. For complete information, visit the NFA Rulebook and CFTC Regulations.

Home Members FCM Regulatory Obligations. Futures Commission Merchant FCM Regulatory Obligations NFA Members must comply with NFA rules and CFTC regulations. Annual FCM Requirements Anti-Money Laundering Books and Records Business Continuity and Disaster Recovery Cybersecurity Filing Requirements Sales Practice and Promotional Material Security Futures Products Self-Examination Questionnaire Supervision Third-Party Service Providers Virtual Currency In addition to the regulatory requirements listed above, here is some helpful information for FCMs Membership Dues Enhanced Supervisory Requirements If you are a new Member, review the New Member Orientation section of the website.

New Member Orientation. Subscribe to NFA Email Communications.

fcm futures commission merchant list

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What the trading desk wants from the operations unit is what it always wants — a fast fix to execute this trade right now. Those who have been through it say their firms should have been more choosy about who they picked. In some cases, they took the fastest and logically obvious path; they chose the same firm that clears their listed futures and options trades. Not exactly. Swaps have become a special case, since the US and a growing number of other national regulators are requiring that more swaps trades, previously executed over the counter, be processed through central clearinghouses and backed by stringent rules about initial and variation collateral.

Most fund managers rely on FCMs to do much of the work in clearing through the market infrastructures, including supporting their collateral needs. But all FCMs are not equal in terms of what they offer. So how does a fund management shop navigate this shifting marketing to find the right FCM? FinOps Report asked ten US operations and technology directors and consultants to come up with a list of four critical criteria. Here is what they had to say.

Part of the service of futures commission merchants is to provide lines of credit, which may determine how many trades a fund manager can clear each day in a specific product line through a specific clearinghouse.

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All registered FCMs, RFEDs, IBs, SDs, MSPs, CPOs and those registered CTAs who direct client accounts or provide tailored investment advice must be NFA Members. CFTC registered APs of NFA Members must be NFA Associate Members. However, many NFA Members are registered in multiple categories. For example, a CPO may also be registered as a CTA and would be counted in each category.

Therefore, totaling all categories will not equal the total membership count. NFA’s directories and registries provide information about NFA Members and CFTC registrants, including, among other details, registration and membership status, NFA ID, and city, state, province if applicable and country. As a security precaution, these directories and registries are password protected.

Home Registration and Membership Membership and Directories. Membership and Directories All registered FCMs, RFEDs, IBs, SDs, MSPs, CPOs and those registered CTAs who direct client accounts or provide tailored investment advice must be NFA Members. NFA Directories and Registries NFA’s directories and registries provide information about NFA Members and CFTC registrants, including, among other details, registration and membership status, NFA ID, and city, state, province if applicable and country.

Directories of CFTC Registrants and NFA Members Access Directories.

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A Futures Commission Merchant FCM [1] is an individual or organization that does both of the following:. FCMs are required to be registered with National Futures Association NFA. FCM may also be members of one or more Designated Contract Markets. Registration is required unless the person handles transactions only for himself or his firm or firm’s affiliates, top officers or directors; or if the person is a non-U.

An FCM may either be a clearing member firm of one or more exchanges a „clearing FCM“ or a non-clearing member firm a „non-clearing FCM“. Clearing FCMs are required to hold substantial deposits with the clearing house of any exchange of which it is a member. A non-clearing FCM must have its customers‘ trades cleared by a clearing FCM.

Additionally, FCMs must follow CFTC guidelines in the following areas:. SEC-registered broker-dealers that limit their futures-related activities to transactions involving certain types of investments can notice register with NFA as an FCM. In accordance with the Dodd-Frank Act , the CFTC issued several final rules regarding FCMs, including:. For more information, visit the FCM regulation page on MarketsReformWiki. Become a sponsor ».

Futures Commission Merchant Regulation. CFTC Proposed Rule: Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations.

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28/02/ · Futures commission merchants (FCMs) and retail foreign exchange dealers (RFEDs) must file monthly financial reports with the CFTC’s Division of Swap Dealer and Intermediary Oversight (DSIO) within 17 business days after the end of the month. Selected financial information from these reports is published below. 28/02/ · The top nine FCMs on the list are institutional specific FCMs that do not house accounts smaller than $10M in size. FCMs that aiSource uses to house its clients’ accounts all fall between spots twelve through forty: R.J. O’Brien, (#12), FC Stone (#18), Rosenthal Collins Group (#25), Advantage Futures (#31), Gain Capital Group (#34) and Dorman Estimated Reading Time: 3 mins.

All Sites have been Reviewed and Categorized by CommodityFuturesSearch. All Rights Reserved. Commodity Brokers Online – Custom Search. For more than 27 years, ADM Investor Services, Inc. Introducing Brokers That Clear Through This FCM Not a Complete List :. Sign Up for our Newsletter – Commodity Brokers Online:. Receive Updates on Commodity Brokers, New Articles, How to Choose the Best Broker, Tips, Recent Enforcement Actions and more!

Sign Up for our Free Newsletter. Commodity Brokers. Futures Clearing Firms. Commodity Brokers Blog. Problem Brokers. ADM INVESTOR SERVICES, INC W JACKSON BOULEVARD, SUITE A CHICAGO, IL Phone: Website: Visit Website.

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