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Office of Economic Development and International Trade

Business Licensing Database
COMMODITIES DEALER

COMMODITIES COMMODITIES DEALER FUTURES FUTURES DEALER

Federal

Commodities Futures Trading Commission
Three Lafayette Centre
1155 21st Street, NW
Washington , DC   20581
(202)418-5000
Fax: (202)418-5521
Companies and individuals who handle customer funds or give trading advice must apply for registration through the National Futures Association (NFA), a self-regulatory organization approved by the Commission.
The CFTC monitors registrant supervision systems, and internal controls and sales practice compliance programs.
Commodity exchanges also apply rules covering clearance of trades, trade orders and records, position limits, price limits, disciplinary actions, floor trading practices, and standards of business conduct.

Federal

National Futures Association
200 W. Madison St., #1600
Chicago , IL   60606-3447
(312)781-1300
Fax: (312)781-1467
With certain exceptions, all persons and organizations that intend to do business as futures professionals must register under the Commodity Exchange Act.
In addition, all individuals and firms that wish to conduct futures-related business with the public must apply for NFA Membership or Associate status.
NFA no longer accepts hardcopy versions of registration and membership forms, all of which must be filed electronically on NFA's web site.

State

Colorado Department of Regulatory Agencies
Division of Securities
1560 Broadway, Suite 900
Denver , CO   80202
(303)894-2320
Fax: (303)861-2126
Contact Division of Securities if not a commodities-only dealer.
NOTE:  If applicable, see STOCKBROKER

page last updated 8/26/03

The Colorado Revised Statutes are available on line at http://198.187.128.12/colorado/lpext.dll?f=templates&fn=fs-main.htm&2.0. You can locate a statute of interest by searching either on the citation given in the database (e.g., 18-5-307) or on a keyword or phrase.

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