Jul 08, 2015 | News

NFA Updates CPO Form PQR and CTA Form PR

Effective June 30, 2015, NFA has enhanced the Form PQR for CPOs and Form PR for CTAs based on feedback from NFA Members.

The enhancements include:

  1. Firms will now have access to both active and ended relationships in both CPO Form PQR and CTA Form PR filings by clicking on the text underneath the relationship table.  It will take you to a screen to show you all active and ended relationships.  If you eneded a relationship in error and would like it to be reinstated with the original start date, you will need to email NFA at PQRSupportinfo@nfa.futures.org.
  2. A CPO will no longer be able to list itself as the trading manager for a pool it operates.  The firm will receive an error and will not be able to submit the filing until the relationship is ended.
  3. In the PQR filing, footing validations were added to the Schedule of Investments.  The validations will ensure that the sum of the sub-categories is not greater than the applicable category.

If you would like to see an example of the changes, click here.