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National Futures Association (“NFA”) – is an independent self-regulatory organization and “watchdog” of the futures industry. The NFA oversees and protects investors from fraudulent commodities and futures activities. The NFA also provides mediation and arbitration for resolving consumer complaints (nfa.futures.org). is an independent agency of the United States federal government that regulates futures and option markets. The stated mission of the CFTC is to protect market users and the public from fraud, manipulation, and abusive practices related to the sale of commodity and financial futures and options, and to foster open, competitive, and financially sound futures and option markets (www.cftc.gov). is a financial regulatory body in the United Kingdom, but operates independently of the UK government. The FCA regulates financial firms providing services to consumers and maintains the integrity of the UK’s financial markets. It focuses on the regulation of conduct by both retail and wholesale financial services firms. Like its predecessor the FSA, the FCA is structured as a company limited by guarantee (fca.org.uk). is the the member regulation, enforcement, and arbitration operation of the New York Stock Exchange. It is a self-regulatory organization that performs financial regulation of member brokerage firms and exchange markets. The independent government agency which acts as the ultimate regulator of the securities industry, including FINRA, is the Securities and Exchange Commission (www.finra.org). is an agency of the United States federal government. It holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation’s stock and options exchanges, and other electronic securities markets in the United States (www.sec.gov).National Futures Association (“NFA”)
Commodity Futures Trading Commission (“CFTC”)
Financial Conduct Authority (“FCA”)
Financial Industry Regulatory Authority (“FINRA”)
Securities and Exchange Commission (“SEC”)
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