EasyFile (IB)

EasyFile allows introducing brokers (IB) to file audited and unaudited 1-FR-IB financial statements and enter and transmit notice filings. Independent introducing brokers (IB) that are not broker-dealers must file their financial statements electronically through NFA's EasyFile. In order to access this system, the IB's security manager(s) must set-up EasyFile Security.

Additionally, NFA Members must promptly provide to NFA notification of a cybersecurity incident related to its commodity interest business and that results in: 1) any loss of customer or its commodity interest business and that results in: 1) any loss of customer or counterparty funds; 2) any loss of the Member's own capital; or 3) the Member providing notice to customers or counterparties under state or federal law. The notification must be filed electronically using NFA's EasyFile system.

You are accessing a system containing U.S. Commodity Futures Trading Commission records. Your usage may be monitored, recorded, and subject to audit, and, by your use, you consent to monitoring and recording. Unauthorized use of the system is prohibited and subject to criminal and civil penalties. The Commission requires that you use a complex password for accessing Commission records and that you change your password at a regular interval.

 

Enter and Transmit Notice Filings and Cybersecurity Incidents Access the System for IB Notice Filings

See system requirements.