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    <title>The Federal Register</title>
    <link>http://thefederalregister.com/b.p/agency/Commodity_Futures_Trading_Commission/2006-11-22/</link>
    <description>Daily Publications of Meetings and Rules Changes for the Federal Government</description>
    <pubDate>Fri, Dec 5 2008 11:00:00 GMT</pubDate>
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  <title><![CDATA[
Financial Reporting Requirements for Introducing Brokers ]]></title>
  <link>http://thefederalregister.com/d.p/2006-11-22-E6-19533</link>
  <description><![CDATA[ The Commodity Futures Trading Commission (``Commission'' or 
``CFTC'') is amending Commission regulations to require introducing 
brokers (``IBs'') submitting CFTC financial Forms 1FRIB that are 
certified by independent public accountants to file such financial 
reports electronically with the National Futures Association (``NFA''). 
The amendments also 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 1FRIB, be 
filed either electronically or in paper form in accordance with the 
rules of the NFA. The CFTC also is amending 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.
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  <guid>http://thefederalregister.com/d.p/2006-11-22-E6-19533</guid>
  <pubDate>Wed, Nov 22 2006 11:00:00 GMT</pubDate>
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