| As a final reminder, the new CFTC financial reporting and filing requirements are effective for all FCM and FCM-Broker/Dealer financial statements. These same filing requirements apply to all 1-FR Statements, FOCUS Reports, and Monthly Net Capital Computations required to be filed with the Audit Department. Such quarterly/monthly reports must be filed within 17 business days of the report date. Therefore, your January 31, 1998 1-FR Statement, FOCUS Report, or Monthly Net Capital Computation must be received by February 25, 1998 (within 17 business days). In addition, the filing requirements of certified statements were amended to require FCM-Broker/Dealers to file their Certified Statements within 60 calendar days while requiring FCM only entities to file within 90 calendar days. Thus, a December 31, 1997 Certified Statement of an FCM-Broker/Dealer must be received by March 2, 1998 (within 60 calendar days) and a Certified Statement of an FCM only firm must be received by March 31, 1998 (within 90 calendar days). In summary, your financial filings are now due as follows: | Type of Statement | Due Date | | Quarterly /Monthly 1-FR or FOCUS | 17 business days | | Monthly Net Capital Computation | 17 business days | | Certified Statement (FCM Only) | 90 calendar days | | Certified Statement (FCM-Broker/Dealer) | 60 calendar days |
If you have any questions, please call the Audit Department at (312) 930-3230 or e-mail us at audits@cme.com. |
