Commodities Futures Trading Commission (CFTC) Registration and Regulatory Action Defense
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Posada Taddeo Dietiker Partner John Taddeo, ESQ. is a former National Futures Association (NFA) registered & licensed series 3 broker, Introducing Broker Owner, and Futures Commission Merchant (FCM) Owner.
Futures Registrations and the National Futures Association (NFA)
With certain exceptions, all persons and organizations that intend to do business as futures professionals must register under the Commodity Exchange Act (The Act). All individuals and firms that wish to conduct futures-related business with the public must apply for NFA Membership or Associate status.
Registration is required unless the Futures Clearing Merchant (FCM), Swap Dealer (SD), Major Swap Participant (MSP), Retail Foreign Exchange Dealer (RFED), Introducing Broker (IB), Commodities Pool Operator (CPO), or Commodity Trading Advisor (CTA qualifies for an exemption.
However, certain exemptions exist within the Commodity Exchange Act which may apply.
Our South Florida Securities and Exchange Commission actions Attorneys serve clients in Palm Beach County, Broward County, Miami Dade County, and throughout Florida.
We can assists you with CFTC and NFA registrations, explain the exemptions which may exist for your business, as well as facilitate and manage requests for exemptions and “No Action” opinions with respect to exemptions to registration requirements required by both the Commodities Futures Trading Commission and National Futures Association.
We are CFTC reparations case defenses attorneys, CFTC enforcement action defense attorneys, and National Futures Association Business Conduct Committee defense lawyers.
If you’re interested in learning more about NFA Membership or Associate status registration, CFTC reparations, possible exemptions, or other actions critical to protecting and growing your business, please contact us.
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