NFA Reminds Members of Reporting Requirements for Christmas and New Year's Day (Notice I-14-37)
The NFA issued a Notice to Members reminding them that regulatory filings will be impacted by the 2015 holidays.
The filing schedule is as follows:
Christmas Day - December 25, 2014
- Daily segregated, 30.7 secured, cleared swaps customer collateral and daily forex statements prepared as of December 24, 2014 are required to be submitted by 12:00 noon on December 26, 2014;
- Daily segregated statements are not required to be prepared as of December 25, 2014; and
- Daily 30.7 secured, cleared swaps customer collateral and daily forex statements are required to be prepared as of December 25, 2014 and are required to be submitted by 12:00 noon on December 26, 2014. If an FCM is required to file a December 25th daily 30.7 secured or cleared swaps customer collateral statement, it should include the most recent segregation balances from December 24, 2014.
New Year's Day - January 1, 2015
- Daily segregated, 30.7 secured, cleared swaps customer collateral and daily forex statements prepared as of December 31, 2014 are required to be submitted by 12:00 noon on January 2, 2015;
- Daily segregated, 30.7 secured and cleared swaps customer collateral statements are not required to be prepared as of January 1, 2015; and
- Daily forex statements are required to be prepared as of January 1, 2015 and are required to be submitted by 12:00 noon on January 2, 2015.