broker, within three (3) business days thereafter. Such report from the ..... accountant indicates the scope of the audit (or examination) which he has made ..... therefore must be stated. (2) Audit or examination. The terms ..... “audit” and “examination,” when used in regard to financial statements and ..... schedules, mean an examination of the statements and schedules by an

previous examination of the introducing broker. (C) A self-regulatory ..... the examination of its member registrants for the purpose of assessing ..... ) Adequate levels and independence of examination staff. A self ..... risk-based method of establishing the scope of each on-site examination ..... ; provided, however, that the scope of each on-site examination of a

futures commission merchant shall file the following within 60 calendar days ..... organizational chart shall be filed within sixty calendar days after the end of ..... shall be reported within sixty calendar days after the end of the fiscal ..... reports within 105 calendar days after the end of each fiscal year or, if a ..... Broker or Dealer under § 240.17h-2T of this title or the Commission permits

) that is subject to examination by, or the reporting requirements of, a ..... merchant is acting as the Reporting Broker or Dealer under § 240.17h-2T of this ..... permit examination of such records at any time, or from time to time ..... not the futures commission merchant's fiscal year-end, 135 calendar days ..... ) and (a)(1)(ii) of this section commencing 60 calendar days after

dealer, introducing broker, commodity trading advisor, commodity pool ..... , introducing broker, commodity trading advisor, commodity pool operator or ..... do so within thirty days after the receipt of the notification provided in ..... applicant as such within thirty days. (d) Special temporary ..... terminated within the preceding 60 days. Except as otherwise provided

otherwise maintain an account with an affiliated broker that is a clearing ..... . On an annual basis, within 60 days following the end of its fiscal ..... an annual basis, within 60 days following the end of its fiscal year, an ..... 17 business days after the end of the exempt derivatives clearing ..... clearing organization, any examination report, examination findings, or

of the executed written acknowledgment no later than three business days ..... examination to take place without further notice to or consent from the futures ..... the Commission no later than three business days after the opening of the ..... obtain a new written acknowledgment within 120 days of any changes in the ..... , at a foreign broker, and, for purposes of paragraph (f)(1)(ii)(C) of this