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Regulatory Information for Swap Intermediaries

Firms acting as an FCM, IB or CTA with respect to swaps subject to the jurisdiction of the CFTC must register through NFA's Online Registration System. Firms acting as CPOs are required to register based upon their swaps activities unless the firm properly claims an exclusion from registration or the CFTC issues interpretive guidance providing that certain collective investment vechicles are not considered commodity pools. More...

 
 
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