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Home Registration and Membership Who Has to Register Notice Registered Futures Commission Merchants (FCM) and Introducing Brokers (IB)

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.

File a Completed Form BDN