NFA Issues Notice to SDs and MSPs Regarding Changes to EasyFile Registration Documentation Submission System (Notice I-15-11)

The NFA issued a notice to swaps dealers ("SDs") and major swap participants ("MSPs") regarding changes to the NFA's EasyFile Registration Documentation Submission System ("RDSS"). SDs and MSPs are required to submit documentation to EasyFile that demonstrates their ability to comply with CFTC rules implementing CEA Section 4s.

Effective March 9, 2015, SDs and MSPs will be able to view all NFA written communications regarding 4s submissions to the RDSS. The RDSS Filing Index, which identifies the status of each 4s submission, will now distinguish between active and historical 4s submissions.

In conjunction with the RDSS modifications, the NFA also will revise the manner in which it communicates with SDs and MSPs regarding 4s submissions by notifying a firm's chief compliance officer and compliance contact when 4s submission-related communications are available in RDSS instead of e-mailing such communications directly to firm personnel.

See: NFA Notice I-15-11.