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Who Must File a Form 40 – Every person who holds or controls a reportable position must file a CFTC Form 40, Statement of Reporting Trader. (See section 18.04 of the regulations under the Commodity Exchange Act.) Persons include individuals, associations, partnerships, corporations, and trusts.
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.
11 lis 2024 · Once a client holds a "reportable position", the CFTC may then contact that client directly and require them to file more detailed information via CFTC Form 40. The information required of this report includes the following: Trader's name and address. Principal business. Form of ownership (e.g., individual, joint, partnership, corporation ...
Large Traders: Forms & Submissions. 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.
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 should be submitted (a) via the CFTC's web-based Form 40 submission process at www.cftc.gov, (b) via a secure FTP
Form 40/40S: This is an updated version of current Form 40, which will be sent by the Commission in its discretion via a special call. The Commission will send Form 40 in order to collect information on reporting traders that are identified on other reporting forms.
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.
