Notice Registered Futures Commission Merchants (FCM) and Introducing Brokers (IB)

Notice registered futures commission merchants (FCM) and introducing brokers (IB) are SEC-registered broker-dealers that limit their futures-related activities to the sale of security futures products on contract markets.

File a completed Notice Form 7-R to become notice registered as an FCM or IB

Access Form 7-R

Notice Registered Broker-Dealer

Notice registered broker-dealers are CFTC-registered FCMs and IBs that limit their securities related transactions to trading security futures products.