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Floor Broker (FB)

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:

  • A completed online Form 8-R
  • Fingerprint Cards
  • Proof from a contract market or derivatives transaction execution facility (DTEF) that the individual has been granted trading privileges. The contract market or DTEF may provide proof after the application has been filed.
  • A non refundable Floor Broker Application Fee of $85.00* 

*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.

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