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NFA’s New Quarterly Form PR for Commodity Trading Advisors

NFA’s New Quarterly Form PR for Commodity Trading Advisors. Today’s Presenters:. Larry Dyekman, Director, Communications and Education Tracey Hunt, Associate Director, Compliance Mary McHenry, Associate Director, Compliance. CFTC Regulation 4.27. CTA Annual Reporting Requirements.

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NFA’s New Quarterly Form PR for Commodity Trading Advisors

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  1. NFA’s New Quarterly Form PR for Commodity Trading Advisors Today’s Presenters: Larry Dyekman, Director, Communications and Education Tracey Hunt, Associate Director, Compliance Mary McHenry, Associate Director, Compliance

  2. CFTC Regulation 4.27 CTA Annual Reporting Requirements NFA Rule 2-46 CTA Quarterly Reporting Requirements

  3. Who must file? • Member CTAs must file Form PR on a quarterly basis even if the CTA is not actively directing any client or pool accounts. • Non-Member CTAs must file Form PR with the CFTC on an annual basis.

  4. When must report be filed? • Each Quarterly Report must be filed within 45 days of the end of each quarterly reporting period. • E-mail notifications will be automatically sent both before and after the due date to remind CTAs of the requirement.

  5. How will the report be filed? • All filings will be managed through NFA’s web-based EasyFile System at www.nfa.futures.org • You must be authorized by your firm’s security manager to file reports.

  6. Getting Started

  7. Getting Started

  8. Getting Started

  9. Filing Index • Click on “End Date” to initiate filing.

  10. Q&A Session

  11. Contact Us • Mary McHenry • mmchenry@nfa.futures.org • (312) 781-1420 • Tracey Hunt • thunt@nfa.futures.org • (312) 781-1284 • Information Center: (800) 621-3570 • (312) 781-1410 • Website: www.nfa.futures.org • Send comments and suggestions regarding this webinar to information@nfa.futures.org

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