Feb 19, 2018 | News

Annual Compliance Reminders

Commodity Trading Advisors

2.14.2018–Form PR (for December 31 year end)

3.1.2018–Affirm CTA exemptions (4.14(a)(8)

Anniversary of registration–Self-Examination Checklist

Commodity Pool Operators

3.1.2018–Affirm CPO exemptions (4.5 and 4.13)

3.1.2018–Registered Large CPO Form CPO-PQR  (for December 31 quarter end)

4.2.2018–Registered Mid-Size and Small CPO Form CPO-PQR year-end report (60 days after quarter-end for other than year end filing)

Within 90 days of pool’s fiscal year end–Annual Report (financial statements for registered or 4.7 pools)

Prior to anniversary of registration–CPO annual registration update to Forms 7-R and 8-R

Prior to anniversary of registration–Self Examination Checklist

Annual Verification–NFA By-law 1101

Introducing Brokers

Annual–Review ISSP

Annual–NFA Maintenance Fees

Anniversary of Registration Date–Update Annual Questinnaire

Anniversary of Registration Date–Update Self-Examination Questionnaire

3.31.2018–Annual Financial Reports (for December 31 year end, or 90 days from Fiscal Year End)