Notices to Members

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Notice I-16-02

January 13, 2016

Enhancements to the CPO Form PQR

Based on feedback from CPO Members, NFA has made some slight enhancements to the CPO Form PQR, available in EasyFile, effective for the quarter ending December 31, 2015. (Access a PDF detailing the improvements to Form PQR.) As a reminder, when completing the CPO Form PQR, 'Reporting Period' for the December 31 filing is defined as the calendar quarter for large CPOs but the calendar year for small and mid-size CPOs.

Please note that since the schema files have changed, an updated schema is now available in the XML Documentation section of EasyFile for CPO PQR XML filers. Each CPO Member will need to update the system the firm uses to generate XML documents. NFA recommends that XML filers forward this Notice to the firm's technical team.

If you have any questions regarding these changes, please contact Tracey Hunt, Associate Director, Compliance ( or 312-781-1284) or Christine Roche, Senior Manager, Compliance ( or 312-781-1562). If you have other questions on EasyFile logistics regarding the Form PQR, please read NFA's responses to frequently asked questions [hyperlink updated 10-25-2021].

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