NFA Notice to Members: Financial Requirements Section 16 Reporting Requirements Guidance

NFA Financial Requirements Section 16 (effective September 1, 2012) requires FCMs to submit certain financial-related information to the NFA on a regular (monthly, semi-monthly or daily) basis. Financial Requirements Section 16 also requires FCMs that hold customer segregated and secured amount funds to report additional information, which may not be included in the firm's regular filings. The purpose of this notice is to provide instructions on how to file this additional information.

The NFA further reminds FCMs that any information filed after its due date must be accompanied by a fee of $1,000 for each business day that it is late.

View notice in full here (links externally to NFA website).