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Proposed Rule

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PROPOSED AMENDMENTS
(additions are underscored)

FINANCIAL REQUIREMENTS

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SECTION 5. INTRODUCING BROKER FINANCIAL REQUIREMENTS

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    (b)
      (1) Each Member IB, except an IB operating pursuant to a guarantee agreement which meets the requirements set forth in CFTC Regulation 1.10(j), must file financial reports with NFA semi-annually, including its fiscal year end, within 17 business days of the date for which the report is prepared. All financial reports must be filed on Form 1-FR-IB or, if the Member is a broker-dealer, on Form 1-FR-IB or the FOCUS Report, and all financial reports except those filed on the FOCUS Report and required to be certified by a Certified Public Accountant must be filed electronically.

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