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Notice I-13-20

July 12, 2013

NFA announces XML upload feature to file Pool Quarterly Reports (PQRs)

NFA is pleased to announce that beginning with PQRs due for the quarter ended June 30, 2013, CPOs will have the option of filing their PQR using XML upload in EasyFile. This new feature will significantly reduce the amount of data entry needed for each filing.

Using the XML feature, a CPO will upload an XML document in EasyFile for its firm level and each pool level filing required. Once uploaded, the CPO must review the Cover Page and relationship information before submitting the filing. NFA will then validate the filing. If any validation errors are noted, the CPO will be required to address those errors on-line before the submission will be considered complete. The submission review feature remains available for easy access by a firm's Compliance staff.

In order to use the XML upload feature to file the June 30, 2013 PQR (and future filings), you must log-in to EasyFile and submit a request for approval to NFA. The XML Information page can be found on the left side menu on the Filing Index page. Once NFA approves your request, instructions on how to submit PQR flings using the XML upload feature will become available to you in EasyFile on the XML Information page.

CPOs should be aware that depending on the volume of XML requests, it may take longer for NFA to process the requests. We will endeavor to accommodate all requests in a timely manner. Further, the XML upload feature is not mandatory, and CPOs may still enter PQRs manually in EasyFile, including those firms that have requested and been approved to use the XML upload feature.

As a reminder, the June 30, 2013 PQR required by NFA Compliance Rule 2-46 is due to NFA on August 29, 2013. If you have any questions on how to request approval for using the XML upload feature, please contact NFA's Information Center at (312) 781-1410 or (800) 621-3570.

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