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NFA Notice to Members I-20-41

November 23rd | 2020



NFA Notice to Members I-20-41 reminds firms that a person seeking relief from CPO registration pursuant to CFTC Regulation 4.13(a)(1), 4.13(a)(2), 4.13(a)(3) or 4.13(a)(5) now must complete, in NFA's Exemptions System, a statutory disqualification attestation including this mandated representation.


Those that currently have a 4.13 exemption are not required to complete the statutory disqualification attestation until they complete the annual exemption affirmation process in 2021. Any person not completing this attestation will not qualify for the exemption or renewal of the exemption. The NFA will be distributing more information on the annual affirmation process in December 2020.


For more on recent NFA regulatory changes, sign up for our webinar that we are co-hosting with Morgan Lewis on December 2, 2020.

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