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NFA Manual / Rules

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Financial Requirements

[Adopted Effective July 1, 2003. Effective dates of amendments: October 18, 2010; and December 2, 2013.]

Each financial report required by Section 1, 5, 6, or 11 that is filed after it is due shall be accompanied by a fee of $1,000 for each business day it is late. Payment and acceptance of the fee does not preclude NFA from filing a disciplinary action under the Compliance Rules for failure to comply with the deadlines imposed by NFA Financial Requirements or CFTC rules.

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