Regulation

TJM is registered with the following regulatory agencies and/or organizations:

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).

  • TJM Institutional Services, LLC – NFA ID: #0270490
  • TJM Investments, LLC – NFA ID: #0292761
  • TJM Europe, LLP – NFA ID #0488730

Commodity Futures Trading Commission (“CFTC”) – 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).

Financial Industry Regulatory Authority (“FINRA”) – 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).

  •  TJM Investments, LLC – FINRA CRD: #46300

Securities and Exchange Commission (“SEC”) – 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).

  • TJM Investments, LLC – SEC ID: #8-51370

Securities Investor Protection Corporation (“SIPC”) – has a focus that is both different and narrow: Restoring funds to investors with assets in the hands of bankrupt and otherwise financially troubled brokerage firms. When a brokerage firm is closed due to bankruptcy or other financial difficulties and customer assets are missing, SIPC steps in as quickly as possible and, within certain limits, works to return customers’ cash, stock and other securities, and other customer property (www.sipc.org).

Financial Conduct Authority (“FCA”) – 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).

  • TJM Europe, LLP – FCA ID: #OC400522