NFA extended relief from July 23, 2020 to September 30, 2020 for NFA registrants and applicants for registration from NFA fingerprint requirements.
As previously covered, the CFTC Division of Swap Dealer and Intermediary Oversight (or "DSIO") extended the temporary relief granted in CFTC Staff Letter No. 20-16 to principals and associated persons from rules requiring them to complete a fingerprint card when registering with the Commission. Because NFA Rules 204(a)(2)(A) and 206(a)(1)(A) similarly require registrants and applicants to complete fingerprint cards, NFA extended its temporary relief to those who satisfy the requirements of the CFTC Staff Letter.
Upon NFA's announcement that it has resumed processing, persons relying on the extended relief will have 30 days to submit their fingerprints.
The CFTC Division of Swap Dealer and Intermediary Oversight extended temporary no-action relief from July 23, 2020 to September 30, 2020 to principals and associated persons from rules
The CFTC Division of Swap Dealer and Intermediary Oversight granted no-action relief to certain associated persons from providing fingerprint cards when filing for registration.
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