In February 2012, the CFTC issued final rules adopting CFTC
Regulation 4.27 which, among other things, requires that all CTAs file a Form
PR annual report with NFA within 45 days of the calendar year end. The Form PR
requires each CTA to report on an annual basis general information about the
CTA, its trading programs, the pool assets directed by the CTA and the identity
of the CPOs that operate those pools. NFA has provided the Form PR
template.
The first annual Form PR report will be due by February 14, 2013
for the year ended December 31, 2012 and must be filed electronically using
NFA's EasyFile System, which can be accessed at http://www.nfa.futures.org/NFA-electronic-filings/easyFile-CTA-filers.HTML.
In order to access the EasyFile System, the CTA's security manager must set up
the necessary security settings. Instructions on how to do that can be found on
our website.
CTA Members should also be aware that NFA has proposed changes
to NFA Compliance Rule 2-46 to require a similar CTA PR filing to be made
quarterly within 45 days of the calendar quarter end and expects that the first
filing under this amendment will be due for the quarter ending March 31, 2013.
NFA will provide notice to Members once approval of the amendments has been
received.
Questions concerning the reporting requirements should be
directed to Tracey Hunt, Associate Director, Compliance (thunt@nfa.futures.org or
312-781-1284) or Mary McHenry, Associate Director, Compliance (mmchenry@nfa.futures.org or
312-781-1420).