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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 213. CURRENT ADDRESS FOR PURPOSE OF DELIVERY OF COMMUNICATIONS
[Adopted effective April 4, 1988. Effective dates of amendments: September 21, 1993 and May 31, 2002.]
(a) The address of each applicant, registrant and principal, as filed on the Form 7-R or Form 8-R, shall be deemed to be the address for delivery to the applicant, registrant or principal for any communications from the Commission or NFA, including any summons, complaint, reparations claim, arbitration demand, order, subpoena, special call, request for information, notice and other written document or correspondence, unless the applicant, registrant or principal specifies another address for this purpose: Provided, however, that the Commission or NFA may address any correspondence relating to a Form 8-R submitted for or on behalf of a principal to the sponsor with which the principal is affiliated and may address any correspondence relating to the registration of an AP to the sponsor with which the AP or the applicant is or will be associated.
(b) Each registrant, while registered and for two years after the termination of registration, and each principal, while affiliated with a registrant and for two years after the termination of affiliation, must notify NFA of any change of any of the addresses provided on the Form 7-R or Form 8-R or other address filed with NFA for the purpose of receiving written or electronic communications from the Commission or NFA. Failure to file a required response to any communication sent to the latest such address(es) filed with NFA which is caused by a failure to notify NFA of an address change may result in an order of default and award of claimed monetary damages or other appropriate order in any NFA or Commission proceeding, including a reparations proceeding brought under Part 12 of the Commission's Regulations.