Search results
– A reportable trader must file a Form 40 on call by the Commission or its designee. – This statement is to be submitted to the nearest CFTC office or as otherwise instructed. All reportable traders are required to complete Part A and all questions must be answered.
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. This post provides a brief description of Form 40, the reasons a CPO/CTA may receive a Special Call, as well as how to appropriately respond to the ...
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.
11 lis 2024 · Overview of CFTC Form 40. The CFTC, the primary regulator of U.S. commodity futures markets and Futures Commission Merchants (FCMs), operates a comprehensive system of collecting information on market participants as part of its market surveillance and large trader reporting program.
This document provides guidance on filling out the CFTC Form 40, which is required for reportable traders. It covers essential information, filing requirements, and instructions for completion and submission. Ensure compliance with the Commodity Exchange Act by carefully following these guidelines. Get CFTC Form 40 Form
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.
1 gru 2008 · Form 40 and the CFTC’s Large Trader Reporting Program. Form 40 is part of the CFTC’s Large Trader Reporting Program, which is designed to: Part 16 of the CFTC’s rules requires daily...
