请教各位汇友,有人知道NFA的第1条和第11条的规定吗?韬客论坛 - 汇市讨论

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[分析咖]请教各位汇友,有人知道NFA的第1条和第11条的规定吗?

楼主发表于：2007-03-21 07:10

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1楼电梯直达

有人知道NFA第一条和第十一条的规定吗? 我的平台出了问题,上NFA的网站有如下的公告:

Narrative for 0334858 - FOREFRONT INVESTMENTS CORPORATION

**TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.** Notice of Member Responsibility Action: On March 19, 2007, NFA issued a Member Responsibility Action ("MRA") to Forefront whereby: 1. Effective immediately, Forefront is prohibited from soliciting or accepting any additional customer accounts or customer funds, except as security deposits for existing positions. The prohibition on solicitation includes, without limitation, ceasing solicitation through the firm's web site. 2. Effective immediately, Forefront is prohibited from accepting or placing trades for any customer accounts except for the liquidation of existing customer positions. 3. Forefront must liquidate all customer and firm positions by 3:00 p.m. (EDT) on Wednesday, March 21, 2007. 4. Forefront is required to immediately liquidate all positions held in any account for any Forefront principal or employee and, further, is prohibited from initiating any additional positions in such accounts. 5. Forefront is prohibited from distributing, disbursing or transferring any funds, including to existing customers, without the prior approval of NFA. 6. In taking any action under this MRA, Forefront must act in the best interests of its customers. This action is effective immediately and is deemed necessary to protect customers because Forefront has failed to maintain and produce current and accurate books and records. Additionally, Forefront has failed to demonstrate that it meets the capital requirements of NFA Financial Requirements Sections 1 and 11 or that it is in compliance with all other NFA Financial Requirements. The MRA will remain in effect until such time as Forefront has demonstrated to the satisfaction of NFA that it is in complete compliance with all NFA Requirements. Forefront is required to provide copies of this MRA, by overnight courier, to all of its customers and to all banks and other financial institutions with which it has money on deposit. 我想请教有那位朋友可以帮忙解释一下"Forefront has failed to demonstrate that it meets the capital requirements of NFA Financial Requirements Sections 1 and 11 or that it is in compliance with all other NFA Financial Requirements"里面的第一条和第十一条的内容是什么?