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Futures Commission Merchants and Introducing Brokers may "passport" into registration with the SEC. If CFTC-registered Futures Commission Merchants and Introducing Brokers limit their securities-related transactions to trading security futures products, they are eligible to file with the NFA a Notice Form BD-N for SEC registration. There is no cost associated with this filing.
You can also view, complete, save and print SEC Notice Form BD-N online.
If you have questions, contact NFA's Information Center at (800) 621-3570 or (312) 781-1410 or e-mail NFA.
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