Credit Rating Agencies and Nationally Recognized.
A credit rating agency assesses the creditworthiness of an obligor as an entity or with respect to specific securities or money market instruments.
Futures Commission Merchants FCMsU.S. COMMODITY.
A firm handling transactions only for proprietary persons (such as the firm itself, affiliates, top officers, or directors) need not register as an FCM. A non-U.S, firm with only non-U.S, customers does not have to register if it submits all trades for clearing to an FCM. All registered FCMs and IBs
13100. Definitions - FINRA - Rules and Regulations
For purposes of the Code, the term "member" means any broker or dealer admitted to membership in FINRA, whether or not the membership has been terminated or cancelled; and any broker or dealer admitted to membership in a self-regulatory organization that, with FINRA consent, has required its members to arbitrate pursuant to the Code and/or to.
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