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Protection of customer funds - frequently asked questions
This document, first issued in February 2012, has been prepared by members of the FIA Law and Compliance Division and contains questions and answers addressing the basics of (i) segregation, collateral management and investments, (ii) minimum financial and other requirements for futures commission merchants and joint FCM/broker-dealers, and (iii) derivatives clearing organization guarantee funds.
CONTINUE READINGFIA New Member Profile – Metropolitan Stock Exchange of India
Established in 2008 as a platform for currency derivatives, MSE has evolved into a multi-asset exchange offering equity cash, equity derivatives and currency derivatives, anchored by its flagship benchmark index, the SX40. Backed by a diverse mix of institutional shareholders and strategic market participants, MSE combines product innovation and technology-first infrastructure with the credibility of established capital market partners, offering an alternative in India’s dynamic exchange ecosystem.
CONTINUE READINGSeries 3 Exam Basic Set
Whether you’re preparing for the Series 3 exam, building a career in the industry, or simply need a stronger grasp of the futures and options markets for your role, this two-book set is an essential resource. Futures and Options—written by market practitioners—blends theory with real-world insights, while U.S. Futures Regulation clarifies how derivatives regulations are applied in practice.
CONTINUE READINGExpo 2025 Opening Remarks: Unlocking innovation – A force multiplier for our markets
Opening remarks of Walt Lukken, President and CEO of FIA, at the 2025 Futures & Options Expo in Chicago. As prepared for delivery.
CONTINUE READINGFIA responds to Bank of England consultation on CCP resilience
FIA's response to the BoE on CCP resilience advocates against financial incentives for porting and recommends enhancements to margin models in UK EMIR.
CONTINUE READINGAugust 2025 stats on customer funds held at US FCMs
The total amount of customer funds in futures accounts at US FCMs reached a record $401.7 billion in August, up 1.1% from the previous month and up 19.5% over the last 12 months. The number of FCMs holding customer funds in futures accounts was recorded at 50 in August, same as a year ago but down from 53 five years ago.
CONTINUE READINGFIA Expo: Tokenisation efforts gain pace as derivatives industry eyes 2026 for clearinghouse acceptance
Panellists at FIA Expo say technology is proven, but clearinghouses need firm regulatory guidance to treat tokenised assets as equivalent to underlying securities.
CONTINUE READINGCFTC announces new prediction markets rule process
In his first public remarks since assuming the top position at the Commodity Futures Trading Commission, Mike Selig announced a reset of the regulatory landscape for prediction markets.
CONTINUE READINGFIA and ISDA respond to CPMI-IOSCO consultation on general business losses
FIA and ISDA backed CPMI-IOSCO proposals, urging clearer prescriptive treatment of FMI general business losses, stronger resources, consistent scenarios, transparency, and rejecting margin gains haircutting.
CONTINUE READINGThe Criminal Provisions of the Commodity Exchange Act
This webinar provides an overview of the criminal provisions of the Commodity Exchange Act and practical insights for firms to avoid liability. Specific topics will include: the elements of criminal violations under the CEA, notable prosecutions brought under the criminal provisions, analysis of why prosecutors prefer using the wire fraud and commodities fraud statutes to charge commodities fraud schemes, how criminal prosecutors analyze potential criminal commodity violations as well as their process for approving charges and practice pointers for avoiding criminal scrutiny for CEA violations. Jones Day attorneys draw on their prior experience at both the CFTC and DOJ where they served in senior roles.
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