Notices to Members

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Notice I-13-02

January 22, 2013

Reminder: CFTC Regulation 4.27: CTA Reporting Requirements

In February 2012, the CFTC issued final rules adopting CFTC Regulation 4.27 which, among other things, requires that all CTAs file a Form PR annual report with NFA within 45 days of the calendar year end. The Form PR requires each CTA to report on an annual basis general information about the CTA, its trading programs, the pool assets directed by the CTA and the identity of the CPOs that operate those pools. NFA has provided the Form PR template.

The first annual Form PR report will be due by February 14, 2013 for the year ended December 31, 2012 and must be filed electronically using NFA's EasyFile System, which can be accessed at In order to access the EasyFile System, the CTA's security manager must set up the necessary security settings. Instructions on how to do that can be found on our website [hyperlink updated 2/18/22].

CTA Members should also be aware that NFA has proposed changes to NFA Compliance Rule 2-46 to require a similar CTA PR filing to be made quarterly within 45 days of the calendar quarter end and expects that the first filing under this amendment will be due for the quarter ending March 31, 2013. NFA will provide notice to Members once approval of the amendments has been received.

Questions concerning the reporting requirements should be directed to Tracey Hunt, Associate Director, Compliance ( or 312-781-1284) or Mary McHenry, Associate Director, Compliance ( or 312-781-1420)." class="blue"> or 312-781-1420).

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