EasyFile allows Commodity Pool Operators the ability to electronically file annual financial statements, quarterly reports and other notices for each of their commodity pools. In order to access this system, the CPO's security manager must set-up the necessary security settings:
The CFTC approved EasyFile as the accepted method for CPOs to meet the annual filing requirements for their pools. CPOs should not file hard copies of statements filed through EasyFile. Also, CPOs are not required to file financial statements with the CFTC.
Pursuant to NFA Compliance Rule 2-46 and CFTC Regulation 4.27, CPOs are required to file quarterly reports for their pools (certain restrictions apply). These quarterly reports are accessed and completed through the EasyFile system. The PQR templates below are for reference only and should not be filed in hardcopy with NFA.
Pursuant to CFTC Regulations, CPOs are required to file notice when the pool's independent public account is replaced, or when the pool's fiscal year end is changed. In addition, CFTC Regulations allow CPOs to request an extension to file and distribute pool annual financial statements. These notices and requests can be filed electronically in the EasyFile system.
You are accessing a system containing U.S. Commodity Futures Trading Commission records. Your usage may be monitored, recorded, and subject to audit, and, by your use, you consent to monitoring and recording. Unauthorized use of the system is prohibited and subject to criminal and civil penalties. The Commission requires that you use a complex password for accessing Commission records and that you change your password at a regular interval.
Please note that EasyFile will not be available for use Monday through Friday from 8:00 p.m. to 9:00 p.m. CT. The system may also occasionally be unavailable at other times due to system maintenance.
This system requires use of a currently supported version of Microsoft Internet Explorer up through version 9 or a currently supported version of Mozilla Firefox up through version 21. The highest Internet Explorer (IE) custom security level you may use for this system is Medium-High. NFA recommends keeping browser levels and maintenance current as an overall best practice. Access to confidential data in this system is secured using 128 bit Secure Sockets Layer (SSL). This system also requires cookies and Scripting of Java Applets to be enabled. Contact your network administrator or visit the websites listed below to determine if your system can support these requirements.
Internet Explorer updates are available at:
Firefox updates are available at:
If you have any questions, NFA's Information Center is available Monday through Friday from 8:00 a.m. to 5:00 p.m. CST to answer your questions. Call (312) 781-1410 or toll-free at (800) 621-3570. You may also email inquiries to email@example.com.
If you experience any technical difficulties with your PQR filing, you can contact NFA support using the following email address: PQRSupportInfo@nfa.futures.org. Please include your firm's name, NFA ID, contact information and a description of the problem including the version of the browser you are using.
Please click the link below to access quarterly filings starting on 9/30/2012.
EasyFile (Quarterly Reports)
Please click the link below to access annual filings or to view or amend quarterly filings submitted prior to 9/30/2012.
EasyFile (Annual or Quarterly Reports)
You can check the registration status and disciplinary history of any futures firm or individual.