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17 xxx xxx x xxx Computer-Generated Form 1-FR-IB An IB may file its Form 1-FR-IB using a computer-generated form if such form is identical in its layout to CFTC Form 1-FR-IB. The Commodity Futures Trading Commission Commission has prepared these instructions to help introducing brokers IB complete Part A of CFTC Form 1-FR-IB the form to be used by IBs in reporting their net capital position under the Commodity Exchange Act CEAct. 9-14-88 - XYZ mu.

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Registration of Intermediaries An “intermediary” is a person or firm who acts on behalf of another person in connection with futures trading.

(1) The Risk Management Program of each futures commission merchant shall be reviewed and tested on at least an annual basis, or upon any material change in the business of the futures commission merchant that is reasonably likely to alter the risk profile of the futures commission merchant.

Futures commission merchants (FCMs) must file monthly unaudited financial reports (Form 1-FR-FCM) with the Commission and their designated self-regulatory organizations. Non-guaranteed introducing brokers (IBs) must file semiannual unaudited financial reports (Forms 1-FR-IB) with the National Futures Association.

Each futures commission merchant (FCM) is required to maintain adjusted net capital of $1,000,000 or some greater amount as determined under CFTC Regulation 1.17(a)(1)(i).

A futures commission merchant (FCM) is an entity that solicits or accepts orders to buy or sell futures contracts, options on futures, retail off-exchange forex contracts or swaps, and accepts money or other assets from customers to support such orders.

SECTION 5. (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.

Under the comprehensive framework for regulating swaps and security-based swaps established in Title VII, the CFTC is given regulatory authority over swaps, the SEC is given regulatory authority over security-based swaps, and the Commissions jointly are to prescribe such regulations regarding mixed swaps as may be ...

CFTC Forms 102 and 40 allow the CFTC to identify the name and address of the account, the person(s) controlling the trading, the person to contact regarding trading, the nature of the account (e.g., whether it is an omnibus account for another broker or an individual account), whether the reported account is related—by ...

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Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232