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Notice I-13-32

October 23, 2013

Effective Date of Amendments to NFA Financial Requirements Sections 10 and 13 and NFA Compliance Rule 2-48: Increase in Fees for Late Financial and Regulatory Filings

NFA recently amended NFA Financial Requirements Sections 10 and 13, as well as NFA Compliance Rule 2-48, to increase the late fee for FDM and IB required financial and regulatory filings to $1,000 for each business day that the filing is late. This new fee structure is consistent with the fees currently assessed to FCMs for late filings.

The new fee structure is effective for all Forex Dealer Member Daily Trade Reports required under Compliance Rule 2-48 beginning with reports due on December 2, 2013. The new fee structure for all financial reports required under NFA Financial Requirements Section 5, 11 or 13 is effective for all reports dated December 2, 2013 or later.

Questions concerning these new requirements should be directed to NFA's Information Center at 800-621-3570 or 312-781-1410 (information@nfa.futures.org).

NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
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