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Notice I-17-03

January 18, 2017

Chief compliance officer annual report filing requirements for futures commission merchants and swap dealers

On November 16, 2016, the CFTC amended CFTC Regulation 3.3 regarding the timing of chief compliance officer (CCO) annual report submissions. This amendment gives futures commission merchant (FCM) and swap dealer (SD) Members up to 90 days after their fiscal year-end to file their CCO annual report. This amendment replaces previous CFTC No Action Letters related to CFTC Regulation 3.3.

If you have questions regarding this Notice please contact Yakov Kozlenko, Director, OTC Derivatives (ykozlenko@nfa.futures.org or 212-513-6076) or Silmar Ramirez, Director, Compliance (sramirez@nfa.futures.org or 312-781-7410).

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