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  • 北京快乐8最新走势图:Electronic Filing Systems

    北京快乐8官方走势图 www.hl747.com Members should use the systems listed below to meet their regulatory filings requirements. To use NFA's electronic filing systems, firms will need to designate a security manager. To ensure Members are able to access the systems, visit the system requirements page.

    • Access NFA's Online Registration System (ORS) to register with the CFTC and apply for NFA membership electronically. NFA's Dashboard, the entryway to ORS, summarizes periodic filings for firms and outstanding registration filings for firms and individuals.
    • Access the Annual Questionnaire, which must be completed annually as part of NFA's membership renewal process.
    • Designate an Executive Representative Contact, who has the Member's sole authority to sign nominating petitions, receive notices of Member meetings and proxy materials, complete proxy cards, and provide voting instructions and cast votes on behalf of the Member.
    • Access EasyFile (CTA Filers) to electronically file Form PR reports.
    • Use the Electronic Disclosure Document Filing System to file a disclosure document with NFA for review.
    • Use the Exemptions System to electronically file with NFA all notices of exclusion or exemption from the Commodity Futures Trading Commission's (CFTC) Part 4 requirements and to complete annual affirmation of certain exemptions from CTA registration.
    • Access NFA's Regulatory Filing System to submit regulatory documentation.
    • Access the Promotional Material Filing System to manage or submit promotional material to NFA for review.
    • Access NFA's Online Registration System (ORS) to register with the CFTC and apply for NFA membership electronically. NFA's Dashboard, the entryway to ORS, summarizes periodic filings for firms and outstanding registration filings for firms and individuals.
    • Access the Annual Questionnaire, which must be completed annually as part of NFA's membership renewal process.
    • Designate an Executive Representative Contact, who has the Member's sole authority to sign nominating petitions, receive notices of Member meetings and proxy materials, complete proxy cards, and provide voting instructions and cast votes on behalf of the Member.
    • Non broker-dealer IBs can use EasyFile to file audited and unaudited 1-FR-IB financial statements and enter and transmit notice filings.
    • Independent IBs that are broker-dealers may access WinJammer to enter and transmit notice filings and other financial statements (FOCUS filings).
    • Use the Anti-Money Laundering (AML) Procedures System to develop an AML procedure.
    • Access NFA's Regulatory Filing System to submit regulatory documentation.
    • Access the Promotional Material Filing System to manage or submit promotional material to NFA for review.
    • Access NFA's Online Registration System (ORS) to register with the CFTC and apply for NFA membership electronically. NFA's Dashboard, the entryway to ORS, summarizes periodic filings for firms and outstanding registration filings for firms and individuals.
    • Access the Annual Questionnaire, which must be completed annually as part of NFA's membership renewal process.
    • Designate an Executive Representative Contact, who has the Member's sole authority to sign nominating petitions, receive notices of Member meetings and proxy materials, complete proxy cards, and provide voting instructions and cast votes on behalf of the Member.
    • Use EasyFile (RDSS) to electronically file documentation required to demonstrate compliance with Section 4s Implementing Regulations.
    • Access WinJammer to file risk exposure reports, notices of swap valuation disputes, Chief Compliance Officer Annual Reports and Business Continuity and Disaster Recovery Plan contact information.
    • Use EasyFile AP Statutory Disqualification Form Submission to electronically file criminal and regulatory statutory disqualification forms for its associated persons (AP).
    • Access EasyFile (Risk Data Filing) to file monthly risk data reports.
    • Access NFA's Regulatory Filing System to submit regulatory documentation.
    • Access the EasyFile Margin Model Submission System to submit a risk-based initial margin model (margin model), manage ongoing oversight of an approved margin model, or update a previously approved margin model.
    • Use BASIC Case Entry (BASICDE) to maintain firm and individual records in NFA's BASIC system.
    • Designate an Executive Representative Contact, who has the Member's sole authority to sign nominating petitions, receive notices of Member meetings and proxy materials, complete proxy cards, and provide voting instructions and cast votes on behalf of the Member.
  • 中央纪委紧盯节点 4年来通报曝光问题近4000起 2019-02-22
  • 美丽城市研究︱美丽城市的杭州发展模式 2019-02-22
  • 外贸创新举措 让开放惠及世界 2019-02-21
  • 【大家谈】让“辛苦”的干部心不苦 2019-02-16
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  • 有力过好多次了,差一点丢了条膀子。 2019-02-06
  • 中船重工总经理孙波涉嫌严重违纪违法被查 2019-02-06
  • 遗址保护莫陷入“名录”字眼中 2019-02-05
  • 弟子追忆荀慧生:循循善诱的严师,60岁仍每天练功、吊嗓子 2019-02-05
  • 访民情 惠民生 聚民心——亚心网专题 2019-02-03
  • 靠山山倒不如靠自己。远水救不了近火,这样的简单道理都不懂该有这样一劫 2019-02-03
  • 回复@老老保老张工:麻烦去问一下度娘再来瞎扯…… 2019-02-02
  • 夏威夷基拉韦厄火山喷发后惊现绿宝石颗粒 2019-02-01