Notices to Members

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Notice I-20-11

March 12, 2020

Information on CFTC Regulatory Reporting Requirements

NFA has been closely coordinating with CFTC staff as market volatility and the spread of the Coronavirus recently have increased.

NFA reminds swap dealer (SD) Members of their regulatory reporting obligations, including those pursuant to CFTC Regulation 23.603. In accordance with such regulatory reporting obligations, CFTC staff expects to be notified if an SD implements a teleworking plan or activates its Business Continuity Plan where such implementation or activation is for purposes other than testing.

Such notifications should be sent to bcdrnotices@cftc.gov.

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