Notices to Members

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Notice I-13-31

October 11, 2013

Effective Date of New Business Continuity and Disaster Recovery Plan Reporting Requirements for FCMs and FDMs

NFA Compliance Rule 2-38 currently requires FCMs and FDMs to provide NFA with emergency contact information for at least two individuals who have authority to make key decisions for the firm in the event of the emergency. FCMs and FDMs are required to provide this information in the firm's annual questionnaire system.

Given the events of Hurricane Sandy and the CFTC's recent staff advisory on business continuity and disaster recovery (BCDR) planning (see Notice I-13-22), NFA has amended Compliance Rule 2-38 to enhance its BCDR reporting requirements and require FCMs and FDMs to provide contact information for all key management personnel, as well as the location/address and telephone number of its disaster recovery site(s). In order to make this information readily available to the CFTC and CME, as well as NFA, FCMs and FDMs will be required to do an initial one-time filing of this information through the WinjammerTM System. All FCMs and FDMs must access and complete the filing by no later than November 30, 2013. Please click on the following link to enter the information:

Going forward, FCMs and FDMs are required to update any changes to the information in a timely manner through the WinjammerTM System. Additionally, as part of its annual update, each FCM and FDM will be required to ensure that the information is current and, if not, immediately submit any changes through the WinjammerTM System.

If you have any questions on these new reporting requirements, please contact Andrew Jones, Compliance Supervisor at (312) 781-1798 (, or NFA's Information Center at (312) 781-1410 or (800) 621-3570.

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