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FIRM: M SECRET USER: NOHOW PROGRAM: ZRRFSCRPTR 001 J.P. Morgan Securities LLC DATE: 9/02/2016 TIME: 10:24:59 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
Begin by carefully reviewing all instructions and guidelines provided by the Commodity Futures Trading Commission (CFTC) for Form 1-FR-FCM.
02
Gather all the necessary information and documentation required to complete the form accurately. This may include details about the registered futures commission merchant (FCM), its financial activities, and its relationships with affiliates and other entities.
03
Start by entering the basic identifying information about the FCM, such as its name, address, contact information, and CFTC registration number.
04
Proceed to provide details about the FCM's business, including information about its principal business activity, the types of products it trades or offers, and the geographical areas in which it operates.
05
Next, provide financial information regarding the FCM's net capital, assets, liabilities, and capital requirements. This information helps the CFTC assess the financial solvency of the FCM.
06
If the FCM has any affiliates or subsidiaries, disclose their names and provide the necessary information about their relationship with the FCM.
07
The form also requires information about the FCM's risk management practices, including details about its risk management program and how it addresses potential risks and challenges.
08
Finally, sign and date the form, certifying that the information provided is accurate and complete.
Who needs CFTC Form 1-FR-FCM:
01
Registered Futures Commission Merchants (FCMs) are required to fill out CFTC Form 1-FR-FCM. FCMs are entities that engage in futures and options trading, providing services to customers who trade commodity futures contracts.
02
This form is essential for FCMs as it helps the CFTC monitor and regulate their financial activities, assess their compliance with regulatory standards, and ensure the protection of customers' interests.
03
Filling out the form allows the CFTC to gather comprehensive and accurate data about FCMs, facilitating their oversight, risk assessment, and enforcement activities in the commodities market.
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What is cftc form 1-fr -fcm?
The CFTC Form 1-FR-FCM is a financial report filed by Futures Commission Merchants (FCMs) registered with the Commodity Futures Trading Commission (CFTC) in the United States.
Who is required to file cftc form 1-fr -fcm?
Futures Commission Merchants (FCMs) registered with the Commodity Futures Trading Commission (CFTC) are required to file the CFTC Form 1-FR-FCM.
How to fill out cftc form 1-fr -fcm?
The CFTC Form 1-FR-FCM must be filled out by FCMs in accordance with the instructions provided by the CFTC.
What is the purpose of cftc form 1-fr -fcm?
The purpose of the CFTC Form 1-FR-FCM is to provide the CFTC with financial information about the FCM to ensure compliance with regulatory requirements.
What information must be reported on cftc form 1-fr -fcm?
The CFTC Form 1-FR-FCM requires FCMs to report various financial data, such as assets, liabilities, and capital requirements.
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