http://www.series34exam.com/jurisdictional-regulatory-framework/ Sun, 05 Feb 2012 03:59:34 +0000 http://wordpress.org/?v=2.7.1 hourly 1 http://www.series34exam.com/jurisdictional-regulatory-framework/comment-page-1/#comment-4071 M.A. Wed, 09 Feb 2011 01:13:51 +0000 http://www.series34exam.com/?p=531#comment-4071 Basically, any entity (FCM, RFED, CTA,..) that is based and operates in the US will be required to register with the CFTC and NFA. Therefore, the CFTC's jurisdictions are within any US-regulated firm, no matter where it operates. I'm not sure if an overseas (across the US) firm that services US citizens must be regulated by the CFTC and NFA; maybe not. Basically, any entity (FCM, RFED, CTA,..) that is based and operates in the US will be required to register with the CFTC and NFA. Therefore, the CFTC’s jurisdictions are within any US-regulated firm, no matter where it operates. I’m not sure if an overseas (across the US) firm that services US citizens must be regulated by the CFTC and NFA; maybe not.

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