FCM, IB, RFD: Capital

Overview

This topic page provides materials as to the capital requirements to which FCMs are subject. Most clearing FCMs are also SEC-registered broker-dealers and, for these FCMs, the CFTC capital requirements largely take as their foundation the SEC capital requirements that apply to broker-dealers (see Broker-Dealer Capital Requirements) and then apply additional capital requirements based primarily on the risk determined to be inherent in clearing CFTC-regulated derivatives transactions.

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Senior Counsel

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