|2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996|
(additions are underscored and deletions are stricken):
NFA FINANCIAL REQUIREMENTS:
NFA Financial Requirements require each FCM for which NFA is the DSRO and each IB which is not operating pursuant to a guarantee agreement to file financial reports with NFA. FCMs must file reports
NFA, in partnership with the Chicago Mercantile Exchange and the Chicago Board of Trade, has developed
NFA’s filing software also includes procedures for the appropriate representative of the NFA Member FCM or IB to attest to the completeness and accuracy of the financial report in order to comply with NFA and CFTC certification and attestation requirements. Each authorized signer must apply to NFA for a Personal Identification Number using an application form approved by NFA.
Full details about the software and electronic filing procedures and the application form for obtaining a PIN number are available by accessing the Compliance Section, Issues for FCMs and IBs, of NFA’s web site at www.nfa.futures.org or by contacting the Information Center at (312) 781-1410. Information is also available on the Joint Audit Committee’s website at www.wjammer.com/jac/.
Finally, while all Member FCMs and IBs are encouraged to file financial reports electronically, electronic filing of financial reports is not required. Member FCMs and IBs may continue to file hardcopy financial reports as they have in the past in accordance with FCM Financial Requirements.
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