A Floor Broker is an individual who purchases or sells any futures contracts, options on futures or swaps on any contract market for any other person.
A registered FB need not also register as a Floor Trader in order to engage in activity as a Floor Trader.
An FB is required to file the following:
*An application fee is not required if the individual is currently registered with the CFTC in any capacity or is listed as a principal of a current CFTC registrant.
Click here if you do not already have access to the Online Registration System.
NFA offers several payment options available to applicants.
NFA Members can file many of their required documents electronically.
You can check the registration status and disciplinary history of any derivatives firm or individual.