Regulatory Requirements Guide (Revision Notes)
In this revised version of the Regulatory Requirements Guide, NFA updated the Guide to incorporate:
Substantive Revisions
Section: Accounting for Commodity Pools
Subsection: Quarterly Reporting Requirements
- Revised to reflect CPO Member requirements to file NFA Form PQR within 60 days of each calendar quarter end.
In this revised version of the Regulatory Requirements Guide, NFA updated the Guide to incorporate:
Substantive Revisions
Section: Accounting for Commodity Pools
Subsection: Quarterly Reporting Requirements
- Revised to reflect uniform quarterly reporting for CFTC Form CPO-PQR for all CPOs, regardless of assets under management; the elimination of substituted compliance for dually registered CPO investment advisers filing joint Form PF in lieu of CFTC Form CPO-PQR; and permitting CPOs to file NFA Form PQR in lieu of the revised CFTC Form CPO-PQR.