WebDetermine license/registration status and possible disciplinary history by contacting the Investigator on Duty by telephone (602) 542-0662or toll-free in Arizona, 1-866-837-4399, or by email at [email protected]. BASIC … WebMay 20, 2013 · In 2010, Congress passed legislation tasking the SEC and CFTC with creating a regulatory regime to govern this multi-trillion dollar market. The 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act assigned the CFTC responsibility for "swaps" and the SEC responsibility for a portion of the market known as "security-based …
SEC.gov Guide to Broker-Dealer Registration
WebMay 24, 2024 · The OCC is an independent bureau of the US Department of Treasury responsible for chartering national banks, licensing federally chartered branches of foreign banks, and supervising and regulating both types of institutions. FSOC is responsible for conducting comprehensive monitoring of the US financial system's stability. Its powers … jbytearray jbyte
CFTC Regulated Brokers - BrokerXplorer
WebJul 2, 2024 · Commodity Futures Trading Commission (CFTC), National Futures Association (NFA) 📊Max. Leverage: 50:1: 🛡️Is It safe to trade: Yes: ... Nationwide Multi-state Licensing System (for state listing) CFTC manages the RED List database, which is mostly compiled by consumer tips. WebWashington, D.C. — The Commodity Futures Trading Commission today announced it has issued an order deeming the commodity pool operator (CPO) exemptions of 17 entities to be ineffective following a special call by the Division of Swap Dealer and Intermediary Oversight (DSIO). The order was approved by the Commission on July 7, 2024 and is … WebOct 11, 2024 · As a bureau of the Department of the Treasury, FinCEN is the administrator of and lead regulator under the BSA -- the nation’s first and most comprehensive AML/Combatting the Financing of Terrorism (CFT) statute. FinCEN’s mission is to protect our financial system from illicit use, ensure our national security, and protect our people … jbx performance