Notices to Members

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Notice I-14-20

August 22, 2014

New Risk Exposure Report filing requirement for swap dealers and major swap participants

NFA Compliance Rule 2-49 requires swap dealers (SDs) and major swap participants (MSPs) to submit to NFA upon request any reports, documents or notices, including those required by CFTC Regulation 3.3 or Part 23 of the CFTC regulations. NFA recently amended Compliance Rule 2-49 to specifically provide that NFA is authorized to require SDs and MSPs to submit identified reports or other documentation not only to NFA but also to the CFTC in the form and manner prescribed by NFA.

NFA intends to make the amendment to Compliance Rule 2-49 effective in the very near future. Beginning with quarterly Risk Exposure Reports (RER) as of September 30, 2014, SDs and MSPs will be required to submit these reports to NFA and the CFTC through WinJammer™. In order to ensure that SDs and MSPs are able to comply with this requirement, every SD and MSP must contact Jamie Syrek at or 312-781-1577 by September 12, 2014 in order to obtain access to WinJammer™.

If you have any questions on this filing requirement, please contact Cliffe Allen, Director, OTC Derivatives ( or 212-346-5634), or David Mengle, Senior Risk Advisor, OTC Derivatives ( or 212-513-6023).

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