The Commodity Futures Trading Commission has adopted amendments to its regulations regarding the financial reports and other notices that must be filed with the CFTC by futures commission merchants (FCMs) and introducing brokers (IBs). Among other things, the amendments allow FCMs to electronically file any filing or other notice submitted pursuant to CFTC Regulation 1.10, including financial “early warning” notices. The rule changes also amend the list of supporting documentation that must be filed by an FCM or IB that falls below its minimum adjusted net capital requirement, as well as the timeframe for filing such documentation, to facilitate more immediate filing.
The amended rules took effect on January 4.
The Federal Register release containing the final rules is available here.