State of California California Department of Consumer Affairs

Commodity Futures Trading Commission (CFTC)

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COMMODITY FUTURES TRADING COMMISSION (CFTC)

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The Commodity Futures Trading Commission, an independent regulatory agency under the direction of the Senate Agricultural Committee, regulates trading on the 11 U.S. futures exchanges which offer active futures and options contracts. It reviews the terms of proposed futures contracts, and registers companies and individuals that handle customer funds or give trading advice. The commission regulates the activities of commodity exchange members, public brokerage houses (futures commission merchants), commission-registered futures sales people and associated persons, and commodity trading advisers and commodity pool operators. The commission ensures that the futures trading process is fair and that it protect both the rights of customers and the financial integrity of the marketplace.



Commodity Futures Trading Commission
3 Lafayette Centre
1155 21st Street, NW
Washington, DC 20581
(866) FON-CFTC (366-2382)
(202) 418-5000 (main number)
(202) 418-5523 (fax)
www.cftc.gov


Complaint jurisdiction:

Suspected fraud or misrepresentation, unauthorized trading, excessive trading of a customer's account, misappro- priation of funds, misconduct by a broker in executing a trade, or other violations of the Commodity Exchange Act.



The National Futures Association enforces standards of professional conduct and financial responsibility by investigating complaints against individuals and companies subject to CFTC regulation. Licenses all entities performing commodity futures trading.


National Futures Association
200 West Madison Street, Suite 1600
Chicago, Illinois 60606
(312) 781-1300
(800) 621-3570
(800) 572-9400 (in Illinois)
(312) 781-1467 (FAX)
www.nfa.futures.org


Publications available: None are offered by the Consumer Information Center

See also: Brokers (Financial)

Other referrals: None




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