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Amendments to Compliance Rule 2-46. CPO and CTA Reporting Requirements
June 30, 2017— Amendments to Compliance Rule 2-46. and new NFA Interpretive Notice NFA Compliance Rule 2-46: Reporting Financial Information on NFA Forms PQR and PR. An explanation of the amendments and Interpretive Notice can be found in the September 6, 2016 rule submission letter.
Part 200. Registration Requirements and Procedures
RULE 212. REGISTRATION IN ONE CAPACITY DOES NOT INCLUDE REGISTRATION IN ANY OTHER CAPACITY.
[Adopted effective April 4, 1988. Effective dates of amendments: January 1, 1990; May 31, 2002; September 30, 2010; and July 18, 2012.]
(a) Except as may be otherwise provided in the Act or in any Rule, Regulation, or order of the Commission, each AP, FB, FT, FCM, RFED, SD, MSP, IB, CPO, CTA and LTM must register as such under the Act. Registration in one capacity under the Act shall not include registration in any other capacity.
(b) Except as may be provided in the Act or in any Rule, Regulation or order of the Commission, registration as an AP in one capacity shall not include registration as an AP in any other capacity. An AP sponsored by a registrant which is registered in more than one capacity need register only once to act as an AP of the registrant and shall be deemed to be an AP of such registrant in each such capacity.