Licence or regulatory framework
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM SupervisionCFTC-NFA-RULE2-9
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision (CFTC-NFA-RULE2-9) refers to an institutional financial benchmark and regulatory standard monitored by Commodity Futures Trading Commission (US), currently calibrated at $20M (Minimum Adjusted Net Capital) as of October 2026.
Updated
Coverage of U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision
8 articles
EU MiCA & DORA Compliance
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision: Statutory Capital Floors, Prudential Ratios & Licensing Thresholds ($20M Minimum Adjusted Net Capital Benchmark)
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision (CFTC-NFA-RULE2-9) stands at $20M (Minimum Adjusted Net Capital) (Source: Commodity Futures Trading Commission, 2026-10-20), governing initial permanent c
Global Enforcement & Licensing Rules
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision: Supervisory Reporting Timelines, Technical Standards & Audit Trails ($20M Minimum Adjusted Net Capital Benchmark)
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision (CFTC-NFA-RULE2-9) stands at $20M (Minimum Adjusted Net Capital) (Source: Commodity Futures Trading Commission, 2026-10-20), governing 4-hour/24-hour/72-h
Prudential Capital & Client Money Segregation
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision: Enforcement Penalties, Sanction Ceilings & Self-Reporting Mitigation ($20M Minimum Adjusted Net Capital Benchmark)
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision (CFTC-NFA-RULE2-9) stands at $20M (Minimum Adjusted Net Capital) (Source: Commodity Futures Trading Commission, 2026-10-20), governing recent enforcement
Clone Firm Detection & Register Audits
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision: Client Asset Segregation, Daily Reconciliation & Insolvency Protection ($20M Minimum Adjusted Net Capital Benchmark)
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision (CFTC-NFA-RULE2-9) stands at $20M (Minimum Adjusted Net Capital) (Source: Commodity Futures Trading Commission, 2026-10-20), governing statutory trust let
EU MiCA & DORA Compliance
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision: Cross-Border Passporting Rights vs. Reverse Solicitation Boundaries ($20M Minimum Adjusted Net Capital Benchmark)
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision (CFTC-NFA-RULE2-9) stands at $20M (Minimum Adjusted Net Capital) (Source: Commodity Futures Trading Commission, 2026-10-20), governing third-country branc
Global Enforcement & Licensing Rules
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision: Third-Party ICT Outsourcing, Register of Information & Exit Plans ($20M Minimum Adjusted Net Capital Benchmark)
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision (CFTC-NFA-RULE2-9) stands at $20M (Minimum Adjusted Net Capital) (Source: Commodity Futures Trading Commission, 2026-10-20), governing contractual audit c
Prudential Capital & Client Money Segregation
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision: Retail Conduct Rules: Leverage Caps, Margin Close-Out & Risk Warnings ($20M Minimum Adjusted Net Capital Benchmark)
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision (CFTC-NFA-RULE2-9) stands at $20M (Minimum Adjusted Net Capital) (Source: Commodity Futures Trading Commission, 2026-10-20), governing 30:1 to 2:1 product
Clone Firm Detection & Register Audits
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision: Official Register Verification Workflow & Clone Firm Red Flags ($20M Minimum Adjusted Net Capital Benchmark)
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision (CFTC-NFA-RULE2-9) stands at $20M (Minimum Adjusted Net Capital) (Source: Commodity Futures Trading Commission, 2026-10-20), governing cross-checking FRN/