CFTC Form 1-FR-IB Instructions - National Futures Association

FORM 1-FR-IB
Instructions
Cover Page
Page 3-6.
FORM 1-FR-IB COVER PAGE
The Cover Page must be answered in its entirety. If an item does
not apply, the IB should write "None" or "N/A" on the line item, as
applicable.
A report is incomplete until all statements and schedules have
been filed and all relevant questions answered by the registrant.
Item 0010
Item 0020
Item 0030
Item 0040
Item 0050
Item 0060
Line 1.
Show the name of the Company as it is registered
with the Commission. Do not use DBAs or
divisional names. Do not abbreviate.
Show the employer identification number issued
by
the Internal Revenue Service. If such number
has not yet been assigned, as may be the case
with applicants for registration, show the
status as either "applied for" or "not yet
applied for".
Show the registration identification number
assigned by NFA. If such number has not yet
been assigned (applicants only), show "not yet
assigned" in the box.
Identify the person who should be contacted
concerning this report. The person need not
be an officer or partner of the IB, but should
be a person who can answer any questions
concerning this specific report.
Show the address of the registrant's
headquarters
office. If the records supporting this report
are maintained at a location other than the
headquarters office, show the records location
address and note in the box "Records Address".
Show the telephone number of the contact
person
whose name appears in item 0040.
Show the beginning and ending dates of the report.
This same time period should be used in
preparing the income statement, and statements
of changes in ownership equity and
subordinated debt.