Web(iv) For securities brokers and dealers, the amount of net capital specified in Rule 15c3-1(a) of the Regulations of the Securities and Exchange Commission (17 CFR 240.15c3-1(a)); plus for a Member FCM that is also a registered swap dealer, two percent of the total uncleared swap margin, as defined in CFTC Regulation 1.17(b)(11); Web(Confidential Pursuant to CFTC Regulation 1.10(g)) A member firm of Ernst & Young Global Limited Ernst &Young LLP 5 Times Square New York, NY 10036-6530 Tel: +1 212 773 3000 Fax: +1 212 773 6350 ey.com Supplementary Report of Independent Registered Public Accounting Firm
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Webtol m i jo 17016472 OMB Number: 3235-0123 __ —_jMMISSION Expires: May 31, 2024 Washington, D.C. 20549 SEC Estimated average burden G hours per response ...12.00 ANNUAL AUDITED REWI foCeSS' SEC FILE NUMBER FORM X-17 A-5 SeCtiOn 8-52013 PART IIl -1 FACING PAGE c an' COn DC Information Required of Brokers and Dealers … WebEach futures commission merchant (FCM) is required to maintain adjusted net capital of $1,000,000 or some greater amount as determined under CFTC Regulation 1.17(a)(1)(i).; Each introducing broker (IB) that is not operating under a guarantee agreement with an FCM is required to maintain adjusted net capital of $45,000 or some greater amount as … dr jeffrey matson auburn wa
17 CFR § 1.11 - Risk Management Program for futures …
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