CFTC & NFA Registration Support
Start with the diagnostic
The existing $4,500, two-to-three-week readiness diagnostic scopes the business model, gaps, and build sequence.
Build to the agreed scope
Translate the assessment into financial records, procedures, system requirements, and an accountable work plan.
For FCM, IB, CPO, and CTA applicants assessing a registration path or building the financial and operational side of an application. Exchange and clearing projects are separately scoped.
What the engagement can include
Registration-model assessment
Document intended products, customers, activities, ownership, and systems. Coordinate legal registration and exemption questions with counsel.
Financial workstream
Scope financial statements, accounting setup, capital support, and reporting responsibilities to the proposed registration category.
Control documentation
Define the policies, supervisory responsibilities, evidence, and review steps needed for the agreed model.
Implementation sequence
Identify dependencies, responsible parties, decision dates, and the information required before the next step.
How We Work Together
Scope
Confirm the business model, objective and responsibilities.
Build
Prepare the agreed records, workflow or documentation.
Validate
Review outputs, evidence and unresolved exceptions.
Handoff
Document approvals, owners and the next review date.
Prepare for Your First Conversation
Bring a high-level business model, proposed registration category, ownership outline, expected products and customers, launch targets, and systems list. A summary is sufficient for the first call.
Book a Regulatory Discovery Call →
Independent financial and operational support; no regulator affiliation, legal advice, approval guarantee, or unverified production integration is implied. Requirements and work are tailored to the firm and registration category.
Common Questions
Does the diagnostic include the full registration build?
No. The diagnostic defines the gaps and build sequence; implementation is separately scoped. The existing offer credits the diagnostic in full against a build started within 60 days, subject to the engagement terms.
Do you provide legal advice or approve registrations?
No. Mac Neal LLC is an independent service provider, not a regulator or law firm. Counsel and regulators retain their respective roles.
Does every applicant need the same financial package?
No. Requirements and deliverables depend on registration category, activities, and business model. We confirm applicability before building the workstream.
Related Services & Resources
Official reference: NFA: FCM applicant compliance requirements