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  • 北京快乐8走势图 360: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 (Quarterly Reports) to electronically file pool quarterly reports for each of the CPO's commodity pools.
    • Access EasyFile Extensions and Notice Filings to file regulation notices for each of the CPO's commodity pools and cybersecurity incident notices.
    • Access EasyFile (Annual Reports) to file annual financial statements for each of the CPO's commodity pools.
    • 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 CPO 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.
    • Access EasyFile (CTA Filers) to electronically file Form PR reports.
    • Access EasyFile Notice Filings to file cybersecurity incident notices.
    • 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.
    • All IBs can use EasyFile to file cybersecurity incident notices. Additionally, 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.
    • Access EasyFile Notice Filings to file cybersecurity incident notices.
    • 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.
  • 沙坪坝书记江涛:坚决打好全力打赢污染防治攻坚战 2019-04-20
  • 【科普探长】高层大楼火灾,如何沉着应对 2019-04-18
  • 5G标准出炉!与4G有啥不一样? 或1秒内下载1G电影 2019-04-15
  • 海底捞回应侵犯音乐人林海著作权:已停止播放 2019-04-13
  • 【奥吉通丰瑞车型报价】奥吉通丰瑞4S店车型价格 2019-04-06
  • 财政部就“财税改革和财政工作”答问 2019-04-05
  • 全国人大代表、雅安市委副书记、市长邹瑾:让雅茶雅旅重光茶马古道文化 2019-04-05
  • 北京市党政代表团赴疆考察对接援疆扶贫工作 2019-04-04
  • 天气太热,警惕“冰箱病”,告诉你冰箱的正确使用方法! 2019-04-04
  • 关于开展对我市改革建言献策活动的启事 2019-04-04
  • 台花莲发生6.5级地震已致2人遇难 2019-04-03
  • 百姓故事:蒋姐姐的旗袍人生 2019-04-03
  • 长安街知事:中央督查组对党政一把手动真格 2019-04-02
  • 首届妈祖信俗“立德”论坛成功举办 2019-04-02
  • 你有什么仙?你有什么水?你有什么龙?你有什么文?你有什么通?你有牛皮癣!你有脓水!你有强词夺理霸王龙“你有剽窃抄袭文,你有狗屁不通文!都是王婆卖瓜自己咵,狗舔吊 2019-03-29