Futures Commission Merchants and Introducing Brokers may "passport" into registration with the SEC. If CFTC-registered Futures Commission Merchants and Introducing Brokers limit their securities-related transactions to trading security futures products, they are eligible to file with the NFA a Notice Form BD-N for SEC registration. There is no cost associated with this filing.
To view and print the SEC Notice Form BD-N you need Adobe Acrobat Reader. If you don't have Adobe Acrobat Reader, you can download it now.
If you have questions, contact NFA's Information Center at (800) 621-3570 or (312) 781-1410 or email NFA.
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.