Choose a registration, funds or dispute check
A CFTC reference must match the company, activity and market
An off-exchange retail-forex account and a futures account traded on a designated contract market have different structures. Establish which contract you are signing before treating a registration badge, capital figure or customer-funds statement as protection for your money.
The CFTC is the US federal derivatives-market regulator. Its registration guidance explains that NFA registers and examines intermediaries on its behalf, under CFTC supervision. NFA BASIC identifies registration categories and disciplinary history. Categories such as FCM, RFED and introducing broker are not interchangeable; an adviser or pool operator’s registration does not establish a dealer’s permissions.
- Take the legal company name from the agreement, not only the advertising brand. Record the proposed market, product and account provider.
- Open BASIC independently. Match the exact entity, required registration category, current status and regulatory actions. Keep a dated record; examine the people involved where relevant.
- Verify the website, contact details and payment recipient independently. A real registered company can be impersonated. A report naming another group company does not resolve your contract.
FXCN’s zero linked broker records above is a directory count. It does not mean the CFTC has no registered firms. The financial-report examples below add no FXCN licence relationships and do not substitute for a current BASIC check. The NFA guide provides a separate registration-check walkthrough.
The RED List flags foreign entities that appear to be acting in a capacity requiring registration without being registered. Inclusion is not a CFTC or court determination that the entity violated the Commodity Exchange Act. Absence is not authorisation.
What the July 2026 financial report actually says
On 9 October, the latest month displayed in the CFTC financial-data listing was 31 July 2026. The original report says its data are from reports filed by 1 September 2026. These figures are historical filings, not balances measured on this page’s review date.
| Company / category in report | Adjusted net capital | Capital requirement | Excess net capital | Retail forex obligation |
|---|---|---|---|---|
| GAIN CAPITAL GROUP LLC FCM RFED | 82,904,419 | 29,706,083 | 53,198,336 | 204,121,663 |
| OANDA CORPORATION FCM RFED | 33,191,483 | 26,783,414 | 6,408,069 | 132,445,959 |
| TASTYFX LLC RFED | 67,394,162 | 21,997,522 | 45,396,640 | 49,950,447 |
The field definitions distinguish regulatory capital from customer obligations. Adjusted net capital is capital available to meet the regulatory requirement; excess is the difference between those figures. Retail forex obligation measures deposited money, securities and property, adjusted for realised and unrealised profit or loss. Excess capital is not a customer account balance or an insurance payout limit.
Each of these three rows shows zero in the separate Customers’ Seg Required 4d(a)(2) column, alongside a nonzero retail-forex obligation. That column concerns the funds an FCM must segregate for customer designated-contract-market trading. Its zero does not mean the company has no retail-forex customers or no forex obligation. Read the column appropriate to the account, rather than combining unrelated protections.
The listing says posted information is not revised to reflect later amendments to those filings. We read the original PDF and visually checked its table. We did not obtain October balances, audit the firms, or independently refresh their current BASIC statuses in this CFTC review. The figures are not a solvency ranking or a withdrawal test.
Exchange-futures segregation does not describe every forex deposit
The CFTC’s FCM customer-funds explanation describes separation of customer funds for futures/options traded on US designated contract markets from the FCM’s own money. Funds for foreign-board-of-trade contracts use the distinct Part 30 secured-amount framework. These categories should not be presented as interchangeable retail-forex insurance.
For off-exchange forex, the CFTC customer advisory explains that the dealer is your counterparty and controls the trading platform. Registration does not eliminate fraud or trading losses. Its warning about deposits and dealer failure should be read before assuming that exchange-futures segregation safeguards an OTC forex account.
Ask the exact account provider which agreement, funds regime and insolvency treatment apply. Keep its response with the contract. A group’s separately regulated futures, securities or overseas business cannot by itself establish the treatment of your US retail-forex deposit. This review determines no individual insolvency entitlement.
Choose between an enforcement report and a personal damages claim
The tip/complaint page offers an enforcement complaint form and the whistleblower Form TCR; it says you do not need to submit both. Use the specified TCR route if seeking consideration under the whistleblower programme. A submission is not a finding of a violation or an automatic whistleblower award.
Enforcement reporting can bring suspected fraud or unregistered solicitation to the regulator. Reparations is a separate process for an eligible person claiming damages from a registered trading professional’s violation. An enforcement ticket does not file that private claim, establish its eligibility or preserve every applicable deadline.
If a purported dealer demands additional “taxes” or deposits to release a withdrawal, keep the communications and payment evidence. The forex advisory identifies such demands as a fraud warning. Verify the entity and route promptly; this page does not establish that any particular withdrawal dispute is fraudulent or promise a refund.
Check reparations eligibility before paying a filing fee
The 2026 reparations handbook states a two-year filing deadline, measured from the violation or when it was first discovered, or reasonably should have been discovered. The discovery rule needs case-specific assessment. Do not assume that an unanswered broker complaint or an enforcement report extends it.
The eligibility page requires a claimed CEA/CFTC-rule violation causing account losses, supporting evidence, and checks for proceedings involving the same claim. Bankruptcy or receivership can direct you to a trustee/receiver instead. A non-US citizen may need a bond or waiver; confirm the requirements with the Office of Proceedings.
Confirm two source differences. The eligibility webpage describes registration at the time of wrongdoing or filing; the 2026 handbook’s checklist mentions registration at the time of misconduct. The handbook also describes formal procedure as available for any amount if selected, while the procedure webpage directs non-voluntary claims of $30,000 or less to summary procedure. Ask [email protected] how the rules apply to your respondent and claim before paying. This guide does not resolve those differences as a legal entitlement.
| Route | Claim amount / agreement | Filing fee | Key procedure difference |
|---|---|---|---|
| Voluntary | Any amount; all parties must consent | $50 | Written evidence; no oral hearing or party appeal |
| Summary | $30,000 or less under the procedure webpage | $125 | Written evidence; hearing if needed; appeal route |
| Formal | Over $30,000 under the procedure webpage; see handbook difference above | $250 | Formal evidence/hearing process; appeal route |
The procedure page explains these choices. For example, a $20,000 claim is within its summary amount bracket, but the $125 filing fee buys no guaranteed award. Claim amount and fees do not establish proof of wrongdoing. Submit a chronology, agreement, statements, trading records, payment evidence and an explained loss calculation; the judge does not investigate your case for you.
An award and collected funds are separate outcomes
The programme FAQ says the CFTC cannot collect an award on your behalf. Nonpayment may trigger registration/trading consequences; collection can require enforcement in a US district court. Preserve the decision, appeal status and payment record, and confirm the applicable enforcement steps and time limits. A successful claim is not an automatic transfer to your bank account.
Questions and boundaries
Is this a current capital or withdrawal ranking?
No. The figures are dated 31 July 2026 filings. They do not measure October balances, your account’s funds regime, or a tested withdrawal. Check the original report, exact company and current registration separately.
Does zero in the segregation column mean zero customer money?
No. The selected rows report nonzero retail-forex obligations in a different column. Establish the relevant product and statutory framework before interpreting a zero.
Does reporting to FXCN file a CFTC claim?
No. An FXCN report does not submit an enforcement complaint, a TCR or reparations. Use the official route and keep its receipt; confirm eligibility and deadlines independently.