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January 26, 2015
Extension of deadline for FCM CCO Annual Reports for fiscal years ending on or before Jan. 31, 2015
NFA requires each FCM for which it is the DSRO to provide NFA with a copy of its CCO Annual Report required under CFTC Regulation 3.3. The purpose of this Notice is to remind FCMs that the under CFTC No Action Letter 14-154 (Dec. 22, 2014), any firm with a fiscal year ending on or before Jan. 31, 2015 has 90 days from the firm's fiscal year end to file this year's report. Any firm unable to meet the 90-day deadline is permitted to file the report no later than 120 days after its fiscal year end provided that by the 90-day deadline, the firm informs the CFTC of any material non-compliance events that occurred during the fiscal year that is the subject of the report. Firms unable to meet the 90-day report deadline also must notify NFA of these material non-compliance events. All reports due for fiscal years ending after Jan. 31, 2015 must be filed within the 60-day period required under CFTC Regulation 3.3.
FCMs also are reminded that the CCO Annual Report must be filed through the WinJammer™ system, which satisfies the firm's NFA and CFTC filing requirements.
If you have questions related to the submitting the CCO Annual Report or WinJammer™, please contact Brian Rothfuss, Senior Manager, Compliance (firstname.lastname@example.org or 312-781-1439).