Notices to Members

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Notice I-07-03

January 23, 2007

Filing Deadline for CPOs Who Did Not Operate a Commodity Pool in Calendar Year 2006

CFTC Regulations require Commodity Pool Operators to follow strict deadlines and filing requirements, and failing to meet those deadlines may result in a disciplinary action against a CPO. Shortly, NFA will provide specific information to each CPO regarding its 2006 financial statement filing requirements. However, NFA is sending this Notice to remind CPOs that, in lieu of filing an Annual Report, they must notify NFA by January 30, 2007 if they did not operate a commodity pool during calendar year 2006.

CPOs can view a list of their pools by logging onto EasyFile, [hyperlink updated 12-01-2021] NFA's Web-based filing system. A CPO must notify NFA by January 30, 2007 if any of the pools listed on EasyFile did not operate during 2006. A CPO can comply with this requirement by:

  1. Filing a notification through the EasyFile system; or
  2. Sending a notification by e-mail to Tracey Hunt ( or Erin Mattes (
  3. In addition, NFA previously conducted a Web seminar that demonstrated how to use EasyFile. To learn more about EasyFile, go to NFA's Web site and access the seminar at

    For further information regarding this filing requirement, please contact NFA at (800) 621-3570. You may also contact Tracey by telephone at (312) 658-6835 or Erin at (312) 781-2236.

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