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February 12, 2014
Additional Reporting Requirements for Forex Dealer Members
In order to improve NFA's risk monitoring of Forex Dealer Members (FDMs), NFA is implementing new reporting requirements effective February 28, 2014. Under the new reporting requirements, FDMs will be required to report certain specified information to NFA on a monthly or quarterly basis through the monthly and quarterly FOREX reports filed through EasyFile. Help text is provided within the form to assist FDMs with the filing. The newly required information should be data that is readily available to FDMs.
Monthly Reporting Requirements
Monthly information will be due in the FOREX report filed each month. The first report will be due March 25, 2014 and will require information, as specified in the question, for the month of February or as of February 28, 2014. The newly required monthly information is as follows:
Quarterly Reporting Requirements
The first quarterly information will be required in the quarterly FOREX report dated March 31, 2014 and due on April 24, 2014. The new information includes:
If you have any technical questions related the filings or EasyFile, please contact Brian Rothfuss, Senior Manager, Compliance (firstname.lastname@example.org or 312-781-1439). Other questions on these requirements should be directed to John Brand, Managing Director, Compliance (email@example.com or 312-781-1465).