Oct 09, 2014 | News

CPO and CTA Compliance Reminders

Per NFA Compliance Rule 2-46, CPOs and CTAs are to electronically file Forms PQR and PR (as applicable) with NFA on a quarterly basis.  PQR filings are due within 60 days of quarters ending in March, June, and September.  For December quarter end, the filing is due 90 days after quarter end.

For CTAs, PR filings are due within 45 days of each quarter end.

Additionally, NFA requires CPO Members to file an annual report for each pool that it operates within 90 days of the pool’s fiscal year end.

For failing to file timely reports, NFA can launch disciplinary action that includes significant fines.

If you need further compliance information or NFA Consulting, please call Mike at 630-351-8942 or email mike@cogcpa.com.