Home > FAQs > Registration > Annual Filings > Are firms required to make annual filings?

Are firms required to make annual filings?

Yes. In order for a firm to maintain its CFTC registration and/or NFA membership it must do the following by its anniversary date:

1) complete the electronic Annual Registration Update;

2) pay the annual registration records maintenance fee of $100 for each registration category;

3) complete the electronic Annual Questionnaire, which includes firm and disaster recovery information as well as a questionnaire for each registration category; and

4) pay the annual membership dues.

If the firm is provisionally registered as a Swap Dealer (SD) or Major Swap Participant (MSP) it must do the following by its anniversary date:

1) pay the annual membership dues; and

2) complete the electronic Annual Questionnaire, which includes disaster recovery information as well as the SD-MSP Questionnaire.

Failure to satisfy all the requirements in the annual update process within 30 days of the firm's anniversary date will be deemed a request to withdraw its CFTC registration and/or NFA membership.

In addition, there are other requirements that should be completed throughout the year for the registration categories listed below. This list will not capture all of your responsibilities, but it should help remind you of certain non-routine requirements.

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