Notices to Members

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Notice I-22-26

December 12, 2022

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 (Observed)—Monday, December 26, 2022

  • Daily segregated, 30.7 secured, cleared swaps customer collateral and daily forex statements prepared as of Friday, December 23, 2022, are required to be submitted by 12:00 noon on Tuesday, December 27, 2022; and
  • Daily segregated, 30.7 secured, cleared swaps customer collateral and daily forex statements are required to be prepared as of Monday, December 26, 2022, and are required to be submitted by 12:00 noon on Tuesday, December 27, 2022.

New Year's Day (Observed)—Monday, January 2, 2023

  • Daily segregated, 30.7 secured, cleared swaps customer collateral and daily forex statements prepared as of Friday, December 30, 2022, are required to be submitted by 12:00 noon on Tuesday, January 3, 2023;

  • Daily segregated, 30.7 secured, and cleared swaps customer collateral statements are not required to be prepared as of Monday, January 2, 2023; and

  • Daily forex statements are required to be prepared as of Monday, January 2, 2023, and are required to be submitted by 12:00 noon on Tuesday, January 3, 2023.

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 2023 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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