Registration Complaince

Futures & Commodities

Mallon P.C. provides registration for all individuals and firms engaged in the futures and commodities industry, including Futures Commission Merchants (FCMs), Introducing Brokers (IBs), Commodity Pool Operators (CPOs), and Commodity Trading Advisors (CTAs). Under the Commodity Exchange Act, these futures professionals are required to register with the National Futures Association (NFA) as a way for the NFA to establish an applicant’s eligibility to conduct futures-related business and to determine which firms and individuals are subject to regulation. Mallon P.C.

Investment Adviser

Mallon P.C. provides extensive registration services to both firms and individuals interested in Investment Adviser registration at the state and SEC level. FINRA requires that any person associated with a member firm who is engaged in the securities business of the firm must register with FINRA. In order to register as an investment adviser, the interested party needs to register through FINRA’s IARD online system. We assist clients with this registration process, including all submission of legal forms and all exam registrations.

Forex

Mallon P.C. provides extensive legal advice for all firms and individuals engaged in the forex business, including Forex Commodity Pool Operators (CPOs), Forex Commodity Trading Advisers (CTAs), and Forex Introducing Brokers (IBs). With the increased regulations in the forex industry, we assist our clients with all Forex registration procedures, including registering with the CFTC, creating disclosure documents, and passing the Series 3 and Series 34 Exams. Mallon P.C.