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NFA Manual / Rules

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Financial Requirements

[Effective dates of amendments: December 17, 1999, October 18, 2010 and March 21, 2014.]

(a) If requested by NFA, a Member FCM, RFED, or IB must promptly submit such additional reports and supplemental financial information which NFA deems necessary.

(b) Each FCM for which NFA is the DSRO and each FDM must file the financial, operational, risk management and other information required by NFA in the form and manner prescribed by NFA.

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