Notices to Members

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Notice I-21-40

December 02, 2021

FCM and RFED filing requirements for Christmas and New Year's Day—Reminder for upcoming holidays

This is a reminder that the following futures commission merchant (FCM) and retail foreign exchange dealer (RFED) regulatory filings will be impacted as follows by the Christmas and New Year's Day holidays:

Christmas Day—Saturday, December 25, 2021

  • Daily segregated, 30.7 secured, cleared swaps customer collateral and daily forex statements prepared as of Thursday, December 23, 2021 are required to be submitted by 12:00 noon on Friday, December 24, 2021; and
  • Daily segregated, 30.7 secured, cleared swaps customer collateral and daily forex statements are required to be prepared as of Friday, December 24, 2021 and are required to be submitted by 12:00 noon on Monday, December 27, 2021.

New Year's Day—Saturday, January 1, 2022

  • Daily segregated, 30.7 secured, cleared swaps customer collateral and daily forex statements prepared as of Thursday, December 30, 2021 are required to be submitted by 12:00 noon on Friday, December 31, 2021;
  • Daily segregated, 30.7 secured, cleared swaps customer collateral and daily forex statements prepared as of Friday, December 31, 2021 are required to be submitted by 12:00 noon on Monday, January 3, 2022.

Any information filed by FCMs or RFEDs after its due date must be accompanied by a fee for each business day that it is late.

Holiday Filing Schedule

Visit NFA's website to view a complete schedule of daily filing requirements for upcoming holidays and an updated calendar of Segregated Investment Detail Report (SIDR) due dates. NFA recommends viewing the calendars and keeping this Notice as a reference for the upcoming 2022 holiday filing requirements.

For more information about filing financial reports, visit NFA's website.

Questions concerning the requirements should be directed to NFA's Information Center (800-621-3570 or 312-781-1410 or information@nfa.futures.org).

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