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Proposed Rule

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EXPLANATION OF PROPOSED AMENDMENTS

NFA Financial Requirements Section 4 provides that FCMs who violate certain CFTC financial or segregation rules also violate an NFA requirement. This section does not apply to IBs, however, even though some of the rules cited in that section do. Recently there have been instances where independent IBs violated the debt-equity ratio in CFTC Regulation 1.17(d) and the equity withdrawal restriction in 1.17(e). The amendments will make Financial Requirements Section 4 applicable to IBs.

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