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March 17, 2010
Effective Date of NFA Compliance Rule 2-46: CPO Quarterly Reporting Requirements
NFA Compliance Rule 2-46: CPO Quarterly Reporting Requirements will become effective on March 31, 2010. Rule 2-46 requires each CPO Member to report on a quarterly basis to NFA specific information on certain pools that it operates within 45 days after the end of each quarterly reporting period. The CPO must provide the information for each pool that it operates that has a reporting requirement under CFTC regulation 4.22 (which includes exempt pools under CFTC Regulation 4.7). Using a new web-based system that was specifically designed for this rule, the CPO must enter the following information:
(a) the identity of the pool's administrator, carry broker(s), trading manager(s) and custodian(s);
(b) a statement of changes in net asset value for the quarterly reporting period;
(c) monthly performance for the three months comprising the quarterly reporting period; and
(d) a schedule of investments identifying any investment that exceeds 10% of the pool's net asset value at the end of the quarterly reporting period.
The first quarterly report will be due by May 17, 2010 for the quarter ended March 31, 2010 and must be filed electronically using NFA's EasyFile System. In order to ensure that CPO Members understand the new requirements, NFA will host a webinar on April 13, 2010 at 12:00 p.m. (Eastern Time), which will outline the new reporting requirements and how to file using the new system. Click here to register for the webinar. NFA staff will also provide detailed information on the new requirements and filing instructions at NFA's CPO/CTA Regulatory Seminar being held on April 22, 2010 in New York. Click here to register for the seminar.
More information about NFA Compliance Rule 2-46 can be found in NFA's August 25, 2009 Submission Letter to the CFTC. Questions concerning the reporting requirements should be directed to Tracey Hunt, Senior Manager, Compliance (firstname.lastname@example.org or 312-781-1284) or Mary McHenry, Senior Manager, Compliance (email@example.com or 312-781-1420).