Notices to Members

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Notice I-18-06

March 16, 2018

Updates to NFA swap dealer annual questionnaire

NFA's Annual Questionnaire provides important information regarding Members' business activities and operations. NFA has added a number of questions to the swap dealer (SD) Annual Questionnaire, which will provide NFA with information that was previously collected during the course of its examinations.

Authorized users can access the SD Annual Questionnaire by logging into the Annual Questionnaire system and clicking "SD-MSP Questionnaire." In addition to the annual requirement, NFA encourages SDs to keep the questionnaire data current throughout the year.

As a reminder, by visiting www.nfa.futures.org, clicking "Members," and selecting "Swap Dealer," website users will find quick links to SD regulatory obligations, filing requirements and more.

If you have any questions related to completing the Annual Questionnaire, please contact Sudhir Jain, Director, OTC Derivatives (sjain@nfa.futures.org or 212-513-6080), Dan Dan Liu, Associate Director, OTC Derivatives (dliu@nfa.futures.org or 212-513-6019) or Mei Ng, Manager, OTC Derivatives (mng@nfa.futures.org or 212-513-6086).

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