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National Futures Association (NFA) Modifies EasyFile for Pool Annual Financial Statements

On February 10, National Futures Association (NFA) issued a notice to members describing minor changes to its EasyFile system for annual pool financial statement filings submitted by commodity pool operators (CPOs). Specifically, each CPO will now be required to submit a cover page as part of the pool financial statement and to include one additional balance (redemptions receivable from other funds) in the Pool Financial Balances section. These changes are effective for outstanding financial statements dated after November 29, 2014.

NFA Notice I-15-09, which includes a link to a PDF detailing the changes, is available here.

©2020 Katten Muchin Rosenman LLPNational Law Review, Volume V, Number 48


About this Author

Christian Kemnitz, Financial Services Lawyer, Katten Muchin Law firm

Christian T. Kemnitz is co-head of the firm's Financial Services Litigation practice and focuses on disputes relating to the financial services industry. He is experienced in pre-litigation counseling and all aspects of litigation, including trial, arbitration, and mediation. In addition, Chris handles complex commercial disputes, antitrust and trade regulation, white collar criminal matters and internal investigations.

Chris’s financial services experience includes litigation, enforcement proceedings, internal investigations and regulatory actions...

James M. Brady, Katten Muchin Law Firm, Finance Attorney

James Brady concentrates his practice in financial services matters.

While in law school, James was an editor of the Michigan Journal of International Law. He also served as a judicial intern to the Honorable Stephen J. Markman of the Michigan Supreme Court.