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September 21, 2017
Important notice regarding financial statement filings by independent IBs
In order to more efficiently review financial statements filed by independent introducing brokers (IB), NFA has added questions to its filing systems regarding certain financial statement balances and questions regarding audited and consolidated financial statement filings. The majority of these additional questions simply require a "yes" or "no" response. Previously, NFA collected answers to these questions by contacting an IB after it submitted its financial statements to NFA. These additional questions will streamline NFA's review process by reducing and/or eliminating phone calls from NFA to IBs.
These questions will be added to the September 30, 2017 filings and will apply to non broker-dealer IBs who use EasyFile and broker-dealer IBs who use WinJammer™.
Broker-dealer IBs who use WinJammer™ must select Annual Certified Financials (IB) as the form type when filing certified financial statements with NFA.
If you have any questions related to these changes, please contact Tracey Hunt, Associate Director, Compliance (firstname.lastname@example.org or 312-781-1284) or Caitlin Walsh, Manager, Compliance (email@example.com or 312-781-1571).