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NFA Reminds Registrants of Expiration of Relief from Fingerprinting Requirements

NFA reminded registrants and applicants that the temporary relief it granted from the fingerprinting requirements under NFA Rules 204(a)(2)(A) and 206(a)(1)(A) expired on September 30, 2020.

As previously covered, the CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted temporary no-action relief to principals and associated persons from rules requiring them to complete fingerprint cards when registering with the CFTC. DSIO stated that its no-action relief, which also expired on September 30, 2020, would not be extended further. NFA's temporary relief had been offered to those who satisfied the requirements of the CFTC Staff Letter.

NFA stated that all persons who relied on the relief are required to submit a fingerprint card to NFA by November 2, 2020.

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