Cftc reg 1.17
Web§ 1.17 Minimum financial requirements for futures commission merchants and introducing brokers. (a) (1) (i) Except as provided in paragraph (a) (2) (i) of this section, each person … The attention of the broker or dealer and the independent public accountant is … (ii) A broker or dealer may elect not to be subject to the Aggregate Indebtedness … part 142 - indemnification of cftc employees (§§ 142.1 - 142.2) ... (§§ 170.1 - 170.17) … 1. The box on the front of Schedule 14D-9 (§ 240.14d-101) indicating that the filing … WebJan 5, 2016 · CFTC Rule 1.17 outlines the minimum financial requirements for futures commission merchants and introducing brokers. The rule states the minimal net capital for securities brokers and dealers, the amount of net capital required by Rule 15c3-1 (a) of the Securities and Exchange Commission (17 CFR 240.15c3-1 (a)). Per SEA Rule 15c3-1
Cftc reg 1.17
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WebMar 16, 2024 · In conjunction with the requirements set forth in CFTC Regulations 1.10, 1.12, 1.17, and 1.18, clearing members must comply with the following requirements: 2. Submit a certified Form 1-FR or FOCUS Report as of the clearing member’s fiscal year-end within the time requirements set forth in CFTC Regulation 1.10. Web(a) Application for registration. (1) Except as otherwise provided, a futures commission merchant or an applicant for registration as a futures commission merchant, in order to satisfy any requirement in this part that it file a Form 1-FR, must file a Form 1-FR-FCM, and any reference in this part to Form 1-FR with respect to a futures commission merchant …
Web( i) The amount of the applicant's or registrant's adjusted net capital; the amount of its minimum net capital requirement under § 1.17 of this chapter; and the amount of its adjusted net capital in excess of its minimum net capital requirement; and Web2. The daily computations of the segregation requirements of Section 4d(a)(2) of the Commodity Exchange Act and the regulations thereunder, and the segregation of funds based on such computations 3. The daily computations of the foreign futures and foreign options secured amount requirements pursuant to Regulation 30.7 of the CFTC
WebThe Order finds that each of these violations was a result of ABN AMRO’s insufficient controls, reflecting a lack of supervisory controls over commodity interest accounts and/or other activities of its partners, employees, and agents relating to its business as a Commission registrant in violation of CFTC Regulation 166.3, 17 C.F.R. § 166.3 ... WebCommission Regulation 30.7— See . CFTC Regulation 30.7(l) for further information. Qualifying institutions holding secured assets must report the balances in the firm's …
WebOct 6, 2024 · (i) Each Member SD and MSP must file unaudited financial reports with NFA for each month-end or quarter-end, as required under CFTC Regulation 23.105 (d), including its fiscal year end, within 17 business days of the date for which the report is prepared using an electronic medium approved by NFA.
WebEach introducing broker (IB) that is not operating under a guarantee agreement with an FCM is required to maintain adjusted net capital of $45,000 or some greater amount as determined under CFTC Regulation 1.17(a)(1)(iii). rice university mpprice university msbaWebPart 1 - General Regulations Under the Commodity Exchange Act; Miscellaneous § 1.55 ... The Commodity Futures Trading Commission requires each futures commission merchant to make publicly available on its Web site firm specific disclosures and financial information to assist you with your assessment and selection of a futures commission ... rice university mrs. wilkinsWeb(1) This term means any person who, for compensation or profit, engages in the business of advising others, either directly or through publications, writings or electronic media, as to … redis as a primary databaseWebNFA Financial Requirements and CFTC Regulation 1.17 include definitions that a Member should fully understand in order to properly prepare its financial reports. View the 1-FR Instruction Guide for a detailed explanation of these … redis as a futureWebUnder Schedule C, Section C3 and CFTC Regulation 1.17 (h) (4) for approval of an emergency subordination; E1-g. Fiscal-Year Election. Under Schedule D, Section D4-c and either CFTC Regulation 1.10 (e) or 4.22 (g) for approval of a change in a fiscal-year election; E1-h. Filing Extension. rice university mseWeb(1) Each applicant or registrant must make and keep as a record in accordance with § 1.31 formal computations of its adjusted net capital and of its minimum financial requirements pursuant to § 1.17 or the requirements of the designated self-regulatory organization to which it is subject as of the close of business each month. rice university mpa