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FIRM: M SECRET USER: NEW PROGRAM: ZRRFSCRPTR 001 J.P. Morgan Securities LLC DATE: 3/11/2016 TIME: 10:27:41 PAGE: 1 CFTC FORM 1FR FCM STATEMENT OF SECURED AMOUNTS AND FUNDS HELD IN SEPARATE ACCOUNTS

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How to fill out cftc form 1-fr -fcm

How to fill out CFTC Form 1-FR-FCM:

01

Obtain the form: Begin by obtaining the CFTC Form 1-FR-FCM from the official website of the U.S. Commodity Futures Trading Commission (CFTC) or by contacting their office directly.

02

Enter the required information: Fill in all the necessary fields on the form, including your business information, such as the name of the Futures Commission Merchant (FCM) and its principal office address.

03

Provide financial information: Indicate the financial data required by the form, such as the FCM's capital requirements, obligations, and liabilities. This typically involves reporting the values for various financial statements, such as balance sheets and income statements.

04

Include supporting documentation: Append the supporting documents requested by the form. These may include audit reports, financial statements, organizational charts, and other relevant information to support the accuracy and completeness of the provided data.

05

Review and verify: Carefully review the completed form to ensure the accuracy of the entered information. It is crucial to verify that all details are entered correctly, as any mistakes or omissions may lead to delays or complications in the processing of the form.

Who needs CFTC Form 1-FR-FCM:

01

Futures Commission Merchants (FCMs): FCMs, which are entities engaged in futures and options trading, are required to fill out and submit the CFTC Form 1-FR-FCM. This form enables the CFTC to monitor and regulate the activities of FCMs and assess their financial standing.

02

Regulatory compliance: Compliance departments within the FCMs are typically responsible for ensuring that the organization fulfills its regulatory obligations. Therefore, compliance professionals and legal teams may be involved in the completion and submission of the CFTC Form 1-FR-FCM.

03

Regulatory authorities: The CFTC and other regulatory authorities use the information provided on the CFTC Form 1-FR-FCM to assess the financial health and compliance of FCMs. These regulatory bodies rely on these forms to make informed decisions and enforce regulations within the futures and options trading industry.

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What is cftc form 1-fr -fcm?

CFTC Form 1-FR-FCM is a financial form required by the Commodity Futures Trading Commission (CFTC) for futures commission merchants (FCMs) to report their financial condition.

Who is required to file cftc form 1-fr -fcm?

Futures commission merchants (FCMs) are required to file CFTC Form 1-FR-FCM.

How to fill out cftc form 1-fr -fcm?

CFTC Form 1-FR-FCM can be filled out electronically or manually, following the instructions provided by the CFTC.

What is the purpose of cftc form 1-fr -fcm?

The purpose of CFTC Form 1-FR-FCM is to assess the financial condition of futures commission merchants (FCMs) to ensure they are in compliance with regulatory requirements.

What information must be reported on cftc form 1-fr -fcm?

CFTC Form 1-FR-FCM requires reporting of various financial information such as assets, liabilities, capital, and other related data.

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