Introducing Broker (IB) Regulatory Obligations

NFA Members must comply with NFA rules and CFTC regulations. Visit the following pages to understand an introducing broker's (IB) regulatory obligations. 

In addition to the regulatory requirements listed above, here is some helpful information for IBs.
If you are a new Member, review the New Member Orientation section of the website. New Member Orientation

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.