On September 14th, the National Futures Association advised that effective October 1, 2012, FCMs that are currently regulated by a U.S. prudential regulator or that are also in some capacity registrants of the SEC must have a designated Chief Compliance Officer under CFTC Regulation 3.3, and that person must also be a listed principal of the firm. In addition, those FCMs will be required to file the CCO Annual Report as of the date of the firm's first fiscal year end after October 1, 2012. NFA Information Memo I-12-21.