Notices to Members

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Notice 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.

regulation notices - ib screenshot

If you have any questions related to these changes, please contact NFA's Information Center ( or 312-781-1410 or 800-621-3570).

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