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October 11, 1996
Electronic Filing of Disclosure Documents
On October 15, 1996 NFA will begin accepting electronic filing of Disclosure Documents which CPOs and CTAs are required to file with NFA pursuant to Compliance Rule 2-13. The CFTC also will begin accepting electronic filing of Disclosure Documents on that date and the procedures established by NFA are identical to those of the CFTC.
Electronic filing of Disclosure Documents is entirely voluntary. Members may continue to file hard copy of their Disclosure Documents if they wish. In addition to the Disclosure Documents themselves, any amendments or corrections, and any responses to CFTC comment letters also may be filed electronically. Filing of documents with NFA does not satisfy the requirement to file with the CFTC and filing with the CFTC does not satisfy NFA requirements.
The procedures for electronic filing are set
forth below. As described below all documents must use one of
two widely utilized commercial word processing systems. The e-mail
address for filing with NFA is email@example.com. No other documents or communications should
be sent to this e-mail address.
1. Save the Disclosure Document as a WordPerfect
for DOS (version 5.1 or earlier) or a Microsoft Word for Windows
(version 6.0 or earlier) file.
2. Use the Member's NFA ID number as the file name
for the saved Disclosure Document, and add a file extension (DD1,
DD2, DD3, ... D10, D11, etc.) indicating whether the submission
is sequentially the first, second, etc. submission by the registrant.
3. Add the file as an attachment to an e-mail message
addressed, or copied, to firstname.lastname@example.org. Confirmation
of receipt of the filed Disclosure Document will be made to the
e-mail address from which the document was received. DO NOT
submit a hard copy of the same document.
4. The CPO/CTA may also submit its response to CFTC
comments to NFA by e-mail. The message should indicate the date
of the CFTC comment message, and any revised text or pages should
be attached in the same manner as the original filing (using
the Member's NFA ID number and the appropriate sequential file
extension as described in No. 2, above).
If you have any questions concerning electronic filing of Disclosure Documents, contact Tony Gialanella at (312)781-1328.