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Notice I-13-23

August 26, 2013

Reporting Requirements for Labor Day

This is a reminder that September 2, 2013 is Labor Day. This holiday will impact your regulatory filings as follows:

  • Daily segregated, 30.7 secured, cleared swaps customer collateral and daily forex statements prepared as of August 30, 2013 are required to be submitted by noon on September 3, 2013;

  • Daily segregated statements are not required to be prepared as of September 2, 2013;

  • Daily 30.7 secured, cleared swaps customer collateral and forex statements are required to be prepared as of September 2, 2013 and are required to be submitted by 12:00 noon on September 3, 2013. If an FCM is required to file a September 2, 2013 Daily 30.7 secured or cleared swaps customer collateral statement, it should also include the most recent segregation balances from August 30, 2013; and

  • FCMs and RFEDs are reminded that any information filed after its due date must be accompanied by a fee for each business day that it is late.

NFA recently added a complete schedule of filing requirements for the remaining 2013 holidays to our website. NFA also created a calendar for the due dates of Segregated Investment Detail Reports (SIDRs) for the remainder of the year.

For more information about filing financial reports visit NFA's website (www.nfa.futures.org).

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

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