What entities does the CFTC regulate?
What Does the CFTC Regulate? The CFTC regulates the U.S. derivatives markets. This includes the commodity futures, options, and swaps markets as well as over-the-counter (OTC) markets.
Who is registered with CFTC?
NFA Members
The Commodity Exchange Act (CEA) requires certain firms and individuals that conduct business in the derivatives industry to register with the CFTC. CFTC regulations also require, with few exceptions, CFTC registered firms to be NFA Members. The CFTC has delegated registration responsibility to NFA.
Who is required to register with the CFTC?
As set forth in CFTC Regulation 30.4, any domestic or foreign person engaged in activities like those of a futures commission merchant (FCM), introducing broker (IB), commodity pool operator (CPO), or commodity trading advisor (CTA) must register in the appropriate capacity or seek an exemption from registration under …
Who are defined CFTC registered intermediary?
This term means any person engaged in a business which is of the nature of a commodity pool, investment trust, syndicate, or similar form of enterprise, and who, in connection therewith, solicits, accepts, or receives from others, funds, securities, or property, either directly or through capital contributions, the …
Who must register with NFA?
All registered FCMs, RFEDs, IBs, SDs, MSPs, CPOs and those registered CTAs who direct client accounts or provide tailored investment advice must be NFA Members. CFTC registered APs of NFA Members must be NFA Associate Members.
Do hedge funds have to register with CFTC?
Do managers of private funds investing in futures, options on futures or off-exchange forex need to register with the CFTC? Yes. Unless an exemption applies, a manager advising and soliciting funds for a commodity pool must register as a CPO.
Who are the intermediaries in stock market?
Intermediaries that facilitate initial public offering are share transfer agents, registrar, merchant bankers, underwriters, credit rating agencies, and custodians.
Does CFTC have authority to prosecute criminal violations?
The CFTC Division of Enforcement investigates and prosecutes alleged violations of the Commodity Exchange Act and Commission regulations.
Who is CEO of Bitcoin?
Roger Ver
Organization. The company’s CEO, Roger Ver, gained control of the Bitcoin.com domain name in April 2014 where he leased it to Blockchain.info, and then later to OKCoin.