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When to File – A reportable trader must file a Form 40 on call by the Commission or its designee. Where to File – This statement is to be submitted to the nearest CFTC office or as otherwise instructed.
- Large Traders
This page contains forms and other documents related to...
- Large Traders
In addition, once an account reaches a reportable size, the Commission may contact the trader directly and require that the trader file a more detailed identification report, a CFTC Form 40: Statement of Reporting Trader, submitted through the CFTC Portal of through sFTP.
This page contains forms and other documents related to Large Traders who report futures and option positions at or above specific reporting levels as set by the Commission. More information about Large Traders is available in the Industry Oversight section.
Where to file—The Form 40 should be submitted (a) via the CFTC's web-based Form 40 submission process at www.cftc.gov, (b) via a secure FTP data feed to the Commission, or (c) as otherwise instructed by the Commission or its designee.
24 wrz 2011 · CFTC Form 40 allows the CFTC to compile information to assess whether a trader’s activities could potentially impact the market and whether traders are complying with speculative position limits.
When to file – A reporting trader must file a Form 40 on call by the Commission or its designee. Where to file – The Form 40 shall be filed by submitting the completed form to the nearest CFTC office or as otherwise instructed by the Commission or its designee. Generally, a Form 40 should be submitted via the
1 gru 2008 · Form 40 is part of the CFTC’s Large Trader Reporting Program, which is designed to: collect information that enables the CFTC’s surveillance staff to aggregate related accounts, which in...
