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Compliance Rules


Part 2 - Rules Governing the Business Conduct of Members Registered with the Commission

RULE 2-46. CPO AND CTA QUARTERLY REPORTING REQUIREMENTS

[Adopted effective March 31, 2010. Effective date of amendments: March 30, 2013; September 30, 2016; and June 30, 2017.]

(a) Except as provided in paragraph (b) below, each CPO Member must file NFA Form PQR, in a form and manner prescribed by NFA, on a quarterly basis with NFA, for each pool that it operates and for which it has any reporting requirement under CFTC Regulation 4.27 within 60 days after the end of the quarters ending March, June and September, and a year-end report within 90 days of the calendar year end.

(b) Each CPO Member that is required to file CFTC Form CPO-PQR on a quarterly basis pursuant to CFTC Regulation 4.27 will satisfy its NFA Form PQR filing requirements by filing CFTC Form PQR, along with any additional information in a form and manner prescribed by NFA, in accordance with CFTC Regulation 4.27.

(c) Each CTA Member with a reporting requirement under CFTC Regulation 4.27 must file NFA Form PR, in a form and manner prescribed by NFA, on a quarterly basis with NFA within 45 days after the quarters ended March, June and September and a year-end report within 45 days of the calendar year end.

(d) Each NFA Form PQR or NFA Form PR that is filed after it is due shall be accompanied by a fee of $200 for each business day it is late. Payment and acceptance of the fee does not preclude NFA from filing a disciplinary action under the Compliance Rules for failure to comply with the deadlines imposed by NFA Compliance Rules or CFTC rules.