美国期货协会官网（美国期货协会官网首页）

所有外汇平台都受NFA 美国监管吗？

不是的~要判断是否受NFA监管查注意以下三点：

一看：要成为NFA监管的外汇交易商是有条件的，那就是净资本要求更低为2000万美元。二要明确：美国NFA监管的零售外汇交易商只有两家，分别是嘉盛美国和Oanda美国，而且由于美国NFA监管限制太多，这两家也是用NFA之外的其他牌照开发中国客户。如果有其他平台宣称是受NFA监管零售外汇交易商，你可以麻溜地闪了。三要懂查;选平台前建议可以到FX110监管查了解一下。

美国NFA是什么？

美国全国期货协会（NATIONAL FUTURES ASSOCIATION），简称NFA。美国全国期货协会(NFA)是根据美国《商品交易法》第17 节的规定，于1976 年组建的期货行业自律组织，属非盈利性会员制组织。NFA 的主要职能在于为使NFA 成员严格遵守联邦法律及CFTC 制定的规则，实施严格管理

※ 什么是美国NFA:

美国全国期货协会（NATIONAL FUTURES ASSOCIATION），简称NFA。美国全国期货协会(NFA)是根据美国《商品交易法》第17 节的规定，于1976 年组建的期货行业自律组织，属非盈利性会员制组织。NFA 的主要职能在于为使NFA 成员严格遵守联邦法律及CFTC 制定的规则，实施严格管理。

※ NFA 职责

●审核和监督会员必须符合NFA 的财务要求；

●制订并强制执行保护客户利益的规则和标准；

●对与期货相关的纠纷进行仲裁；

●审批NFA 会员资格，期货 *** 商(FCMs)、介绍经纪人(IBs)、商品交易顾问

(CTAs)和商品基金经理(CPOs)都可以成为NFA 的会员。

※ 监管描述：

美国期货协会对所有从事金融服务的公司，实行严格的联邦监管及合规审计，并依各公司从事业务的不同，制定了极具针对性的细致监管类目，每一类目都需满足相应的监管门槛，并遵循相应的监管要求。严格的监管体系确保了所有在美国注册的金融公司和从事金融业务的公司将严格依照NFA 的要求进行运营，以确保投资者的权益得到保障。此牌照为CPO 基金/资金池运营机构牌照，CTA 基金经理/投资顾问机构牌照，可以交易基金、外汇以及其它衍生品。

※ NFA -CPO/CTA 主要特点：

1.高性价比，低牌照申请与运营费用

2.无更低保证金要求

3.全球认可的最严格监管体系

4.非美国股东，无需支付美国税务

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※ 获得NFA-CPO/CTA 牌照流程：

CTA 及CPO 需要注册成为NFA 会员，及接受监管。要注册成为CTA 及CPO，必须遵循以下步骤：

1. 任命安全管理经理，去完成NFA 注册系统；

2. 提交NFA 7-R 表格，及所有对应提交的法律文案；

4. 提交完成NFA 年度调查问卷；

5. 支付申请费用；

6. 支付NFA CTA 及CPO 会员费；

NFA 对CTA 及CPO 的团队有专业要求，CTA 及CPO 交易商注册时需要有至少一名的专业关联人员Associated Persons。该关联人员有专业性的要求。CTA及CPO 交易商需要为其负责人，及关联人员提交以下资料：

1. 为每位负责人及关联人员提交8-R 表格；

2. 提交指纹卡；

3. 满足专业能力的要求；

4. 支付负责人及关联人员的申请费。

美国更大的期货公司有哪些》？

美国180家期货公司排名

1 GOLDMAN SACHS CO 10,633,341,133

2 CITIGROUP GLOBAL MARKETS INC 9,399,126,010

3 JP MORGAN FUTURES INC 6,633,251,098

4 UBS SECURITIES LLC 6,031,244,256

5 MERRILL *** NCH PIERCE FENNER *** ITH 5,682,952,740

6 FIMAT USA LLC 5,608,158,695

7 CA *** ON FINANCIAL INC 5,341,299,725

8 REFCO LLC 4,660,428,310

9 MAN FINANCIAL INC 4,528,046,986

10 MORGAN STANLEY CO INCORPORATED 3,225,728,674

11 LEHMAN BROTHERS INC 3,060,068,000

12 BEAR STEARNS SECURITIES CORP 2,730,462,796

13 ABN AMRO INCORPORATED 2,643,788,464

14 BARCLAYS CAPITAL INC 2,115,820,355

15 UBS FINANCIAL SERVICES INC 1,911,764,599

16 CREDIT SUISSE FIRST BOSTON LLC 1,612,698,177

17 DEUTSCHE BANK SECURITIES INC 1,572,806,515

18 RJ OBRIEN ASSOCIATES INC 1,476,065,834

19 PRUDENTIAL FINANCIAL DERIVATIVES LLC 1,410,712,000

20 CARGILL INVESTOR SERVICES INC 1,341,937,506

21 MORGAN STANLEY DW INC 1,136,482,627

22 SENTINEL MANAGEMENT GROUP INC 975,116,897

23 ADM INVESTOR SERVICES INC 856,010,550

24 HSBC SECURITIES USA INC 795,914,541

25 BNP PARIBAS COMMODITY FUTURES INC 790,843,181

26 MERRILL *** NCH PROFESSIONAL CLEARING CORP 621,190,748

27 FC STONE LLC 571,434,200

28 GOLDMAN SACHS EXECUTION CLEARING LP 516,659,228

29 BANC OF AMERICA FUTURES INCORPORATED 413,748,149

30 GREENWICH CAPITAL MARKETS INC 412,154,000

31 ROSENTHAL COLLINS GROUP LLC 375,675,266

32 MCVEAN TRADING AND INVESTMENTS LLC 351,911,321

33 VISION LIMITED PARTNERSHIP 332,826,350

34 AG EDWARDS SONS INC 307,433,165

35 ALARON TRADING CORPORATION 211,611,194

36 FORTIS CLEARING CHICAGO LLC 192,548,388

37 MIZUHO SECURITIES USA INC 151,073,954

38 MBF CLEARING CORP 150,618,862

39 ENSKILDA FUTURES LIMITED 129,577,040

40 IOWA GRAIN CO 125,366,544

41 PEREGRINE FINANCIAL GROUP INC 119,743,200

42 RAND FINANCIAL SERVICES INC 118,780,308

43 OCONNOR COMPANY LLC 115,865,389

44 TENCO INC 111,865,671

45 INTERACTIVE BROKERS LLC 111,239,156

46 TRILAND USA INC 105,665,645

47 ADVANTAGE FUTURES LLC 96,160,240

48 GOLDENBERG HEHMEYER CO 95,115,754

49 TIMBER HILL LLC 81,987,166

50 BNP PARIBAS SECURITIES CORP 77,824,441

51 XPRESSTRADE LLC 71,100,174

52 FIRST CAPITOL GROUP LLC 55,804,892

53 KOTTKE ASSOCIATES LLC 50,369,730

54 COUNTRY HEDGING INC 47,835,642

55 CADENT FINANCIAL SERVICES LLC 37,530,154

56 STERLING COMMODITIES CORP 37,142,550

57 GELBER GROUP LLC 32,666,931

58 FARR FINANCIAL INC 30,198,770

59 CANTOR FITZGERALD CO 29,520,915

60 MID-CO COMMODITIES INC 24,626,271

61 VELOCITY FUTURES LP 24,417,546

62 DORMAN TRADING LLC 22,481,113

63 AMERICAN NATIONAL TRADING CORP 18,539,294

64 NEUBERGER BERMAN LLC 17,888,844

65 FRONTIER FUTURES INC 17,197,420

66 OPEN E CRY LLC 16,312,261

67 OPPENHEIMER CO INC 16,112,429

68 CUNNINGHAM COMMODITIES INC 13,399,758

69 DUNAVANT COMMODITY CORP 12,595,050

70 SHATKIN ARBOR INC 12,410,930

71 INTERNATIONAL COMMODITY CLEARING 10,955,455

72 PENSON FINANCIAL FUTURES INC 9,960,823

73 COMTRUST INC 9,771,037

74 *** W TRADING COMPANY INC 9,503,246

75 HAGERTY GRAIN CO INC 8,498,416

76 YORK BUSINESS ASSOCIATES LLC 7,410,969

77 SHAY GRAIN CLEARING COMPANY 7,321,381

78 ROBBINS FUTURES INC 6,843,764

79 CROSSLAND LLC 6,663,021

80 FCT GROUP LLC 5,857,531

81 ABN AMRO SAGE CORPORATION 5,453,099

82 DAIWA SECURITIES AMERICA INC 5,424,682

83 FRIEDBERG MERCANTILE GROUP INC 4,279,745

84 GARBAN FUTURES LLC 4,224,588

85 EAGLE MARKET MAKERS INC 3,785,098

86 CLIFDEN FUTURES LLC 2,999,591

87 INTEGRATED BROKERAGE SERVICES LLC 2,883,225

88 AIG CLEARING CORPORATION 2,546,903

89 NOMURA SECURITIES INTERNATIONAL INC 2,235,694

90 C CZARNIKOW SUGAR FUTURES INC 1,538,110

91 WALL STREET DERIVATIVES INC 1,487,458

92 CLIFF LARSON COMPANY THE 796,679

93 FIMAT PREFERRED LLC 460,603

94 AMERICAN MUTUAL HOLDING CORPORATION 410,996

95 IFSCL USA INC 188,223

96 CMC GROUP PLC 10,000

97 ADVEST INC 0

98 ALPHA FOREIGN EXCHANGE GROUP LLC 0

99 BACERA CORPORATION 0

100 BATTERY ASSET MANAGEMENT LLC 0

101 BEAR STEARNS CO INC 0

102 BIELFELDT COMPANY LLC 0

103 CAL FINANCIAL CORPORATION 0

104 CAPITAL MARKET SERVICES LLC 0

105 CIBC WORLD MARKETS CORP 0

106 CMC MARKETS (US) LLC 0

107 COESfx CLEARING INC 0

108 DIRECT FOREX LLC 0

109 ED F MAN COMMODITY ADVISORS INC 0

110 ELECTRONIC BROKERAGE SYSTEMS LLC 0

111 FOREFRONT INVESTMENTS CORPORATION 0

112 FOREX CAPITAL MARKETS LLC 0

113 FOREX INTERNATIONAL INVESTMENTS INC 0

114 FUTURES TECH LLC 0

115 FX OPTION1 INC 0

116 FX SOLUTIONS LLC 0

117 FX TRADING LLC 0

118 GAIN CAPITAL GROUP INC 0

119 GFS FOREX FUTURES INC 0

120 GILDER GAGNON HOWE AND CO LLC 0

121 GLOBAL FUTURES FOREX LIMITED 0

122 GLOBAL FUTURES LLC 0

123 GOLDMANY FINANCE INC 0

124 H R BLOCK FINANCIAL ADVISORS INC 0

125 HOTSPOT FX INC 0

126 HOTSPOT FXr LLC 0

127 IFX MARKETS INC 0

128 IG FINANCIAL MARKETS INC. 0

129 INTERBANK FX LLC 0

130 ITAU SECURITIES INC 0

131 IXIS SECURITIES NORTH AMERICA INC 0

132 KJW LLC 0

133 LADENBURG THALMANN CO INC 0

134 LBS LIMITED PARTNERSHIP 0

135 LEADER INVESTMENTS INC 0

136 LEGG MASON WOOD WALKER INC 0

137 LINN GROUP ( THE ) 0

138 LINSCO/PRIVATE LEDGER CORP 0

139 LOEB PARTNERS CORPORATION 0

140 MARQUETTE ELECTRONIC BROKERAGE LLC 0

141 MAXCOR FINANCIAL INC 0

142 M *** TECHNOLOGIES LLC 0

143 MITSUI BUSSAN COMMODITIES USA INC 0

144 MONEY GARDEN CORP 0

145 MORGAN KEEGAN COMPANY INC 0

146 NATIONS INVESTMENTS LLC 0

147 NIKKO ALTERNATIVE ASSET MANAGEMENT INC 0

148 ***** CORPORATION 0

149 ODL SECURITIES INC 0

150 OPTIONSXPRESS INC 0

151 PIONEER FUTURES INC 0

152 PIPER JAFFRAY CO 0

153 QUALIFIED LEVERAGE PROVIDERS INC 0

154 RAYMOND JAMES ASSOCIATES INC 0

155 RBC CAPITAL MARKETS CORPORATION 0

156 RBC DAIN RAUSCHER INC 0

157 REDSKY FINANCIAL LLC 0

158 ROSENTHAL GLOBAL SECURITIES LLC 0

159 SANFORD C BERNSTEIN CO LLC 0

160 SNC INVESTMENTS INC 0

161 SOLID GOLD FINANCIAL SERVICES INC 0

162 SPENCER FINANCIAL LLC 0

163 STEPHENS INC 0

164 STILLPOINT WEALTH MANAGEMENT LLC 0

165 SWISS AMERICAN SECURITIES INC 0

166 TCA FUTURES LLC 0

167 TERRA NOVA TRADING LLC 0

168 TOKYO-MITSUBISHI FUTURES USA INC 0

169 TOWER RESEARCH CAPITAL EUROPE LLC 0

170 TRADELINK LLC 0

171 TRADESTATION SECURITIES INC 0

172 TRADITION SECURITIES AND FUTURES INC 0

173 TRAN *** ARKET GROUP LLC 0

174 UFJ FUTURES LLC 0

175 UNITED CLEARING LLC 0

176 WACHOVIA CAPITAL MARKETS LLC 0

177 WACHOVIA SECURITIES FINANCIAL NETWORK LLC 0

178 WACHOVIA SECURITIES LLC 0

179 WHITE COMMERCIAL CORPORATION 0

180 WORLDWIDE CLEARING 0

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