NFA Reminds FCMs of Extension of CCO Annual Report Deadline (NFA Notice I-15-08)

The NFA issued a notice reminding futures commission merchants ("FCMs") that under CFTC No-Action Letter 14-154, any firm with a fiscal year ending on or before January 31, 2015 has 90 days from the firm's fiscal year-end to file its annual Chief Compliance Officer ("CCO") report through the WinJammer™ system, as required under CFTC Rule 3.3(f) ("Chief Compliance Officer").

Any firm unable to meet the 90-day deadline is permitted to file the report no later than 120 days after its fiscal year-end, provided that the firm informs the CFTC and the NFA of any material non-compliance events that occurred during the fiscal year that is the subject of the report.

See: NFA Notice I-15-08. Related news: NFA Reminds SDs and MSPs to File CCO Annual Reports; CFTC Announces Firms May Submit Reports Through WinJammer (Notice I-15-05)(January 23, 2015); CFTC Issues Staff Advisory and No-Action Relief Regarding CCO Annual Report (CFTC Letters 14-153 and 14-154) (with Patel Comment) (December 22, 2014); NFA Amends Rule Regarding New Risk Exposure Report Filing Requirement for SDs and MSPs (NFA Notice I-14-20) (August 22, 2014).