EasyFile Extensions and Notice Filings
Pursuant to the CFTC's Part 4 Regulations, CPOs are required to file notice when the pool's independent public accountant is replaced, or when the pool's fiscal year end is changed. In addition, the CFTC's Part 4 Regulations allow CPOs to request an extension to file and distribute pool annual financial statements. These notices and requests can be filed using EasyFile Extensions and Notice Filings. In order to access this system, the CPO's security manager(s) must set up EasyFile security.
Effective June 30, 2021, NFA Compliance Rule 2-50 and its related Interpretive Notice require CPOs to file notice when a market or other event affects a commodity pool's ability to fulfilll its participant obligations. A CPO must promptly notify NFA using EasyFile if it: 1) operates a pool that cannot meet its margin call(s); 2) operates a pool that is unable to satisfy redemption requests in accordance with its subscription agreements; 3) operates a pool that has halted redemptions (not related to existing gates or lockups, or pre-planned cessation of operations); or 4) receives notice from a swap counterparty that a pool it operates is in default.
Additionally, NFA Members must promptly provide to NFA notification of a cybersecurity incident related to its commodity interest business and that results in: 1) any loss of customer or its commodity interest business and that results in: 1) any loss of customer or counterparty funds; 2) any loss of the Member's own capital; or 3) the Member providing notice to customers or counterparties under state or federal law. The notification must be filed using NFA's EasyFile system.
You are accessing a system containing U.S. Commodity Futures Trading Commission records. Your usage may be monitored, recorded, and subject to audit and, by your use, you consent to monitoring and recording. Unauthorized use of the system is prohibited and subject to criminal and civil penalties. The Commission requires that you use a complex password for accessing Commission records and that you change your password at a regular interval.
File an Extension or NoticeAccess the System to File an Extension or Notice