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Notice I-14-37

December 18, 2014

Reporting requirements for Christmas and New Year's Day: Reminder for 2015 holidays

This is a reminder that your regulatory filings will be impacted as follows by the Christmas and New Year's Day holidays:

Christmas Day December 25, 2014

  • Daily segregated, 30.7 secured, cleared swaps customer collateral and daily forex statements prepared as of December 24, 2014 are required to be submitted by 12:00 noon on December 26, 2014;

  • Daily segregated statements are not required to be prepared as of December 25, 2014; and

  • Daily 30.7 secured, cleared swaps customer collateral and daily forex statements are required to be prepared as of December 25, 2014 and are required to be submitted by 12:00 noon on December 26, 2014. If an FCM is required to file a December 25th daily 30.7 secured or cleared swaps customer collateral statement, it should include the most recent segregation balances from December 24, 2014.

New Year's Day January 1, 2015

  • Daily segregated, 30.7 secured, cleared swaps customer collateral and daily forex statements prepared as of December 31, 2014 are required to be submitted by 12:00 noon on January 2, 2015;

  • Daily segregated, 30.7 secured and cleared swaps customer collateral statements are not required to be prepared as of January 1, 2015; and

  • Daily forex statements are required to be prepared as of January 1, 2015 and are required to be submitted by 12:00 noon on January 2, 2015.

FCMs and RFEDs are reminded that any information filed after its due date must be accompanied by a fee for each business day that it is late.

Holiday Filing Schedule

Visit NFA's website to view a complete schedule of filing requirements for the upcoming 2015 holidays, as well an updated calendar for due dates of Segregated Investment Detail Reports (SIDRs). We recommend that you view the calendars and keep this Notice as a reference for the upcoming 2015 holidays filing requirements.

For more information about filing financial reports visit NFA's website (www.nfa.futures.org).

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