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Notice I-14-13

June 05, 2014

Important Notice to CPOs and CTAs regarding changes to the CPO Form PQR and CTA Form PR that will become effective for the period ending June 30, 2014.

Based on feedback and questions that NFA has received from CPO/CTA Members, NFA has made some slight changes as described below to the CPO Form PQR and CTA Form PR. These changes will become effective for the quarter ending June 30, 2014. While we recognize that any changes to these forms necessitate that Members expend resources to understand and implement the changes, we believe that these changes will simplify and make less burdensome the Forms' questions relating to NFA's request for information relating to any funds under management allocated to futures and swaps. The updated CPO Form PQR and CTA Form PR will be available in the Easy File System the first week of July 2014 along with the updated PQR and PR templates with expanded help text.

For CPO PQR XML filers, an updated schema is now available for upload in the XML Documentation section of Easy File. Please note that since the schema files have changed CPO Members will need to update the system that is used to generate XML documents because certain box numbers have been added and eliminated. NFA recommends that this information be forwarded to the firm's technical team if the XML upload feature is used.

At this time, there are no XML capabilities available for the CTA Form PR.

CPO Form PQR

  • Schedule A Part 1 Box 0146 has been deleted and replaced with a series of questions in Boxes 0025 through 0028 and 0030. This change allows us to obtain information on a CPO's investments in futures and swaps in terms of an approximate percentage of Total Net AUM.
  • Schedule A Part 1 Box 0250 Help text has been added.
  • Schedule A Part 1 Box 0255 Help text has been added.
  • Pool Cover Page Box 0161 has been deleted.
  • Schedule A Part 2 Question 10 Box 0430 The text box has been removed and replaced with Box 0431 which provides for a drop down list of currencies.

CTA Form PR

  • Question 1.d. Box 0013 Help text has been amended.
  • Question 1.e. Box 0014 Help text has been amended.
  • Question 2.a. Box 0015 Help text has been amended.
  • Question 3 has been amended to expand the definition of Carrying Broker.
  • Question 8 Box 0219 has been deleted and replaced with a series of questions in Boxes 0025 through 0028 and 0030. This change allows us to obtain information on a CTA's investments in futures and swaps in terms of an approximate percentage of Total Assets Directed.

If you have any questions relating to the above changes, please contact Tracey Hunt, Associate Director, Compliance (thunt@nfa.futures.org or 312-781-1284) or Mary McHenry, Associate Director, Compliance (mmchenry@nfa.futures.org or 312-781-1420).

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