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

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Securities Exchange Act of 1934, Part II or Part IIA, ("FOCUS Report") in lieu of Form 1-FR-IB. The IB-securities broker/dealer is expected to be familiar with the SEC's rules and instructions for preparing the FOCUS report and should prepare its FOCUS report in accordance with those rules and instructions. Where the manner of reporting any item on the FOCUS report is different from that in which the item would have been reported on the Form 1-FR-IB, the IB-broker/dealer should nevertheless prepare the FOCUS report in accordance with the instructions to the FOCUS report. If the FOCUS report instructions do not specify how an item should be handled, the IB-broker/dealer should report the item in accordance with these instructions.
FORM 1-FR-IB Instructions Where to File Reports Page 1- 3. WHERE TO FILE REPORTS An IB must file its financial reports, and any supplemental information requested, with its designated self-regulatory organization ("DSRO") at the location the DSRO specifies. A copy of each report and supplemental information must be filed with the Commission as follows: If an IB's principal office is located in Illinois, Indiana, Michigan, Ohio, or Wisconsin, the IB should file its financial reports with Commodity Futures Trading Commission Financial Audit & Review Branch 233 South Wacker Drive, Room 4600 Chicago, IL 60606 Phone: 312-353-5990 ----------------------------------------------------------------- Except with respect to the states listed above, if an IB's principal office is located east of the Mississippi River, the IB should file its financial reports with Commodity Futures Trading Commission Financial Audit & Review Branch One World Trade Center, Room 4747 New York, NY 10048 Phone: 212-466-2061 ----------------------------------------------------------------- All other IBs should file their financial reports with Commodity Futures Trading Commission 4901 Main Street, Room 400 Kansas City, MO 64112 Phone: 816-374-6602 ----------------------------------------------------------------- Any self-regulatory organization ("SRO") of which an IB is a member may ask the IB for a financial report or other financial information, even though the SRO is not the IB's designated selfregulatory organization. Also, a DSRO or the Commission may ask for financial reports or information in addition to the routine filings made by their member-IBs.
Page 1 and 2: ===================================
Page 3: PUBLIC REPORTING BURDEN Public repo
Page 7 and 8: FORM 1-FR-IB Instructions Contents
Page 9 and 10: FORM 1-FR-IB Instructions Pertinent
Page 11 and 12: National Futures Association, and t
Page 13 and 14: Unresolved Differences and Amounts
Page 15 and 16: FORM 1-FR-IB Instructions Cover Pag
Page 17 and 18: STATEMENT OF FINANCIAL CONDITION -
Page 19 and 20: Example 1 On 11-28-XX an IB enters
Page 21 and 22: current asset. If the IB has receiv
Page 23 and 24: Affiliates include the IB's parent
Page 25 and 26: In this case, $10,000 of the $24,00
Page 27 and 28: liability may be excluded from tota
Page 29 and 30: qualify for exclusion from liabilit
Page 31 and 32: STATEMENT OF THE COMPUTATION OF THE
Page 33 and 34: Line 5. - Haircuts on cash commodit
Page 35 and 36: Line 7. - Charges against repurchas
Page 37 and 38: Example Assume contract A has a $4,
Page 39 and 40: If a deficiency in SDN collateral e
Page 41 and 42: FORM 1-FR-IB Instructions Statement
Page 43 and 44: Equity Capital Equity capital is th
Page 45 and 46: An IB which has an equity capital d
Page 47 and 48: self-regulatory organization requir
Page 49 and 50: FORM 1-FR-IB Instructions Reporting
Page 51 and 52: FR- IB (Statement of Financial Cond
Page 53 and 54: (B) Any excess market value of the
Page 55 and 56:
(ii) 15 years but less than 20 year
Page 57 and 58:
Canadian Debt Obligations (C) In th
Page 59 and 60:
(ii) Between 5 years and 10 years a
Page 61 and 62:
percentage deduction on such excess
Page 63 and 64:
the proprietary or other accounts o
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(5) Conversion Accounts. Where a br
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CFTC Form 1-FR-IB Instructions - National Futures Association

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