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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.
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.
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 ...
Forms and submissions information for Ownership and Control Reporting (OCR). Forms and submissions information for filing tips and complaints. Forms and submissions information for Designated Contract Markets (DCMs). Forms and submissions information for Futures Commissions Merchants (FCMs).
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
Can I print Form 40 prior to submitting? Form 40 can be printed prior to submitting. If you enter all the required fields in pages Section A through Section G, you can print a draft copy of your form 40 prior to submitting the form. On Page Section H, click the ‘Download Draft PDF’ button.
