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NFA's Financial Requirements require Futures Commission Merchants and Independent Introducing Brokers (IBs not operating pursuant to a guarantee agreement) to file their un-audited financial statements electronically; this includes 1-FR and FOCUS filers.
Firms that file form 1-FR-FCM, FOCUS II or FOCUS IIA must file using WinJammerTM software.
IBs that file form 1-FR-IB must file using NFA's web-based EasyFile system.
Please note that the requirement to file un-audited statements electronically is effective once a firm's registration and membership have been approved. Therefore, financials submitted as part of the application process are accepted in hard copy.
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