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Notice Registered Futures Commission Merchant and Introducing Broker

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Notice Registered Futures Commission Merchant and Introducing Broker

SEC-registered broker-dealers that limit their futures-related activities to the sale of security futures products on contract markets or derivative transaction execution facilities.

A broker-dealer that would like to become notice registered as a futures commission merchant or introducing broker to sell security futures products are required to file:

A completed Notice Form 7-R

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Electronic Filings

NFA Members can file many of their required documents electronically.

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Check Broker / Firm Information (BASIC)

You can check the registration status and disciplinary history of any futures firm or individual.

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