Dec 11, 2013 | Uncategorized

CPO and CTA Exemption Affirmation

If you are a CPO and claim an exemption or exclusion from registration under CFTC Regulation 4.5, 4.13(a)(1), 4/13(a)(2), 4.13(a)(3), 4.13(a)(5) you must annually affirm the applicable notice of exemption or exclusion within 60 days of the calendar year end, which is March 3, 2014.  If you are a CTA and claiming an exemption from registration under 4.14(a)(8), you must also affirm the exemption or exclusion by March 3, 2014.

Failure to do so will result in a withdrawal of the exemption or exclusion.

You can access the NFA Exemption System by clicking here.