|
The Commodity Futures Modernization Act of 2000 provides for certain broker-dealers registered with the Securities and Exchange Commission ("SEC") to "passport" into registration with the Commodity Futures Trading Commission ("CFTC") as a Futures Commission Merchant or an Introducing Broker. If SEC-registered broker-dealers limit their futures-related activities to the sale of security futures products on contract markets or derivative transaction execution facilities, they are eligible to file with National Futures Association a one-page Notice Form 7-R for CFTC registration. There is no cost associated with this filing.
You can view, complete, save and print the Notice Form 7-R online.
If you have questions, contact NFA's Information Center at (800) 621-3570 or (312) 781-1410 or e-mail NFA.
|
