FCM, IB, RFD, LTM, Swap Dealer: Custody

Overview

This page provides materials as to the regulation of custody by futures commission merchants ("FCMs"), swap dealers, retail foreign exchange dealers and leverage transaction merchants. See also the separate topic page Custody for Foreign Futures, which is focused on custody of collateral held by CFTC-registered FCMs as to foreign futures and options.

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CEA Sections and CFTC Rules

NFA Financial Requirements

NFA Compliance Rules