News & Notices | National Futures Association

Proposed Rule

2017 | 2016 | 2015 | 2014 | 2013 | Show more years

PROPOSED AMENDMENTS
(additions are underscored)

FINANCIAL REQUIREMENTS

* * *

SECTION 5. INTRODUCING BROKER FINANCIAL REQUIREMENTS

* * *

    (b)
      (1) Each Member IB, except an IB operating pursuant to a guarantee agreement which meets the requirements set forth in CFTC Regulation 1.10(j), must file financial reports with NFA semi-annually, including its fiscal year end, within 17 business days of the date for which the report is prepared. All financial reports must be filed on Form 1-FR-IB or, if the Member is a broker-dealer, on Form 1-FR-IB or the FOCUS Report, and all financial reports except those filed on the FOCUS Report and required to be certified by a Certified Public Accountant must be filed electronically.

Subscribe to NFA Email Communications