VOLUME 28 – BULLETIN #029

TO:	ALL CLEARING PARTICIPANTS
FROM:	CLIENT SERVICES AND SUPPORT
DATE:	April 24, 2008
SUBJECT:	Regulatory Reporting Personal Information

The Personal Information Maintenance screen, in OTIS, is used to create, modify, or delete personal information to the NFA for regulatory and auditing purposes. This information identifies owners of large trader, commercial, and non-commercial positions. Personal information (P1/P2) needs to be entered the first time an account becomes reportable.

The regular account number field in the P1/P2 selection should be formatted identically as the account number field in the P5/P6 Large Trader position file. The account number is either right justified or left justified in the 10 character field. To verify the format of the account filed for your firm, please refer to your larger trader position file or contact CSS at 312-786-5718 for assistance.

Clearing Participants that need to right justify an account number in the ten digit account field in the P1/P2 screens should use the keyboard space bar to enter blanks followed by the account number. For example, to enter Clearing Participant’s account number 12345 that needs to be right justified, strike the space bar five times and then enter the account 12345. Do not enter leading zeros; this will cause the P1/P2 personal information to be out of sync with the P5/P6 position account information.

Information on reportable levels should be addressed to Dan Unti at the NFA 312-781-1325.

Should you have any questions, please call or e-mail one of the following Client Services and Support Representatives: