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. assists clients with the NFA registration process through the NFA’s Online Registration System (ORS). Additionally, our legal team provides assistance with filing exemptions through the NFA as well as Associated Person and Principal Withdrawal Forms.

Mallon P.C.’s legal services in regards to NFA registration include but are not limited to:

· Enroll clients as a Security Manager through NFA’s Online Registration System

· Obtain NFA ID number and login information

· Register FCMs, IBs, CPOs, and CTAs as NFA members by preparing and submitting Form 7-R and Form 8-R

· File NFA exemptions

· Verify Form 8-R through the ORS to complete the submission process

Our legal team has extensive knowledge of the NFA’s futures and commodities registration process and is able to research all questions and provide advice to anyone interested in the futures and commodities business. We have also created NFA Self-Examination checklists that provide a detailed outline of each rule and compliance requirement.