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Product LoginWednesday, January 20, 2016
Futures Regulatory Alert #2016 - 1
Update: Ownership and Control Reporting (“OCR”) Implementation
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Markets Impacted:Contact Information:
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This alert provides additional technical specificity with respect to a previous Futures Regulatory Alert #2015-15, which provided implementation details in connection with the Ownership and Control Reports (OCR) Final Rule (OCR Rule) issued by the Commodity Futures Trading Commission (CFTC). Effective immediately, Nasdaq Futures, Inc. (NFX) Clearing Futures Participants, futures commission merchants, and foreign brokers (collectively “Reporting Firms”) may begin sending OCR test files to NFX. Each Reporting Firm has its own separate subfolders for confidentiality on the NFX SFTP Server. Incoming Ownership and Control Reporting Files should be placed under the OCR subfolder. NFX will evaluate OCR test files and provide Reporting Firms confirmation of CFTC OCR format conformance. Importantly, Reporting Firms may elect to declare to NFX its OCR files “production ready”. Upon such production declaration, National Futures Association will conduct surveillance for large trader reporting on behalf of the Exchange. For any related question such as request user account, password reset or general inquiry, please contact NFX Market Operations at +1 215 496 5409.
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