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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
CTA Form PR
If you have any questions relating to the above changes, please contact Tracey Hunt, Associate Director, Compliance (email@example.com or 312-781-1284) or Mary McHenry, Associate Director, Compliance (firstname.lastname@example.org or 312-781-1420).