Futures Commission Merchant (FCM) Regulatory Obligations
NFA Members must comply with NFA rules and CFTC regulations. Visit the following pages to understand a futures commission merchant's (FCM) regulatory obligations.
- Annual FCM Requirements
- Anti-Money Laundering
- Books and Records
- Business Continuity and Disaster Recovery
- Filing Requirements
- Sales Practice and Promotional Material
- Security Futures Products
- Self-Examination Questionnaire
The information presented here is intended to call attention to key compliance issues. This is not a complete list of requirements. For complete information, visit the NFA Rulebook and CFTC Regulations.