CFTC Supervision and CCO

Overview

This page focuses on the general obligations that the CFTC Rules and NFA Rules impose upon futures commission merchants ("FCMs"), introducing brokers ("IBs"), swap dealers ("SDs"), retail forex dealers ("RFDs"), commodity pool operators ("CPOs"), and commodity trading advisors ("CTAs") to appoint a Chief Compliance Officer and to establish supervisory procedures. It is primarily concerned with overarching supervisory obligations as opposed to those that would apply to a specific activity, such as the responsibility to establish procedures as to appropriate marketing.

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CEA Sections and CFTC Rules

NFA Rules

NFA Interpretive Notices