NFA Notice I-13-20: XML Upload Feature to File Pool Quarterly Reports

NFA announced that beginning with pool quarterly reports ("PQRs") due for the quarter ended June 30, 2013, CPOs will have the option of filing their PQR using XML upload in EasyFile, a new feature which will significantly reduce the amount of data needed for each filing. Using this feature, a CPO will upload an XML document to EasyFile for its firm level and each pool level filing required. Once uploaded, the CPO must review the Cover Page and relationship information before submitting the filing. NFA will then validate the filing. In order to use the XML upload feature to file the June 30, 2013 PQR (and future filings), a request must be approved by NFA through EasyFile. NFA warns CPOs that they should be aware that depending on the volume of XML requests, it may take longer for NFA to process requests.

The June 30, 2013 PQR required by NFA Compliance Rule 2-46 ("CPO Quarterly Reporting Requirements") is due to NFA on August 29, 2013.

See: NFA Notice I-13-20.