Sep 12, 2016 | News

Reminder: NFA Imposes Late Fee – Effective September 30, 2016

Expect to be hit with a $200 a day late fee by the NFA if you don’t file your forms PQR or PR on time. The NFA has a continuing problem with delinquent firms filing these forms after the deadline even though staff has routinely followed up with these firms.


NFA Compliance Rule 2-46 requires CPOs and CTAs to file NFA Form PQR and NFA Form PR respectively on a quarterly basis.  The NFA uses the information provided in these forms by integrating it into its risk management system.  The information helps design examination schedules and helps identify those firms that may require additional monitoring.


If you are having trouble with the filing, please call Mike at 630-351-8942 or email