federal_register: 06-7739
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
This data as json
| document_number | title | type | abstract | publication_date | pub_year | pub_month | html_url | pdf_url | agency_names | agency_ids | excerpts | regulation_id_numbers |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 06-7739 | Financial Reporting Requirements for Introducing Brokers | Proposed Rule | The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing to amend Commission regulations to require introducing brokers ("IBs") submitting CFTC financial Forms 1-FR-IB that are certified by independent public accountants to file such financial reports electronically with the National Futures Association ("NFA"). The proposed amendments also would require that certified Financial and Operational Combined Uniform Single Reports ("FOCUS" Reports), submitted by IBs registered with the Securities and Exchange Commission ("SEC") as securities brokers or dealers ("B/Ds") in lieu of Form 1-FR-IB, be filed either electronically or in paper form in accordance with the rules of the NFA. The CFTC also is proposing to amend Commission regulations to require that with respect to any such electronic filing, a paper copy including the original signed certification be maintained by the IB in its records for a period of five years in accordance with Commission Regulation 1.31. | 2006-09-19 | 2006 | 9 | https://www.federalregister.gov/documents/2006/09/19/06-7739/financial-reporting-requirements-for-introducing-brokers | https://www.govinfo.gov/content/pkg/FR-2006-09-19/pdf/06-7739.pdf | Commodity Futures Trading Commission | 77 | The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing to amend Commission regulations to require introducing brokers ("IBs") submitting CFTC financial Forms 1-FR-IB that are certified by independent public accountants to file... |