Notices to Members
2024 | 2023 | 2022 | 2021 | 2020 | Show more yearsNotice I-23-18
October 2, 2023
CPOs and IBs—NFA enhances notice filing user experience
On Tuesday, October 3, NFA will add fillable forms to the following commodity pool operator (CPO) and introducing broker (IB) notices and requests to improve the filing process efficiency. The type and amount of required information Members must provide remains the same.
| Registration Category | CFTC Regulation | Description | System |
| CPO | 4.22(f)(1) | Annual Report Extension Request - Undue Hardship | Easy File |
| CPO | 4.22(f)(2) | Annual Report Extension Request - Fund of Funds | Easy File |
| CPO | 4.22(d)(1) | Replacement of Pool's CPA | Easy File |
| CPO | 4.22(g) | Change in Pool's FYE | Easy File |
| IB | 1.16(g) | Replacement of IB's CPA | Easy File and WinJammer |
| IB | 1.12(a) | Firm is Under-Capitalized | Easy File and WinJammer |
| IB | 1.10(f)(1)(i) | Extension to File Uncertified Statement | Easy File |
| IB | 1.16(f)(1) | Extension to File Certified Statement | Easy File |
Following the update, IBs that are SEC registered broker dealers will now select "Regulation Notices - IBs" (see below) to file all notices and requests in WinJammer.
If you have any questions related to these changes, please contact NFA's Information Center (information@nfa.futures.org or 312-781-1410 or 800-621-3570).