Proposed Rule2022 | 2021 | 2020 | 2019 | 2018 | Show more years
(additions are underscored)
* * *
SECTION 5. INTRODUCING BROKER FINANCIAL REQUIREMENTS
* * *
- (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.