CFTC FORM 40 STATEMENT OF REPORTING TRADER Public reporting burden for this collection of information is estimated to average 20 minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. 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 data feed to the Commission, or (c) as otherwise instructed by the Commission or its designee. The Commodity Futures Trading Commission (Commission or CFTC) publishes the Commitments of Traders (COT) reports to help the public understand market dynamics. Specifically, the COT reports provide a breakdown of each Tuesday’s open interest for futures and options on futures markets in which 20 or more traders hold positions equal to or above the reporting levels established by the CFTC. Who Must File a Form 40 - 17 CFR 18.04(a) requires every person who owns or controls a reportable position to file a Form 40 - Statement of Reporting Trader with the Commission. 5 The Form 40 is required under CFTC Regulation 18.04 to be completed by reportable traders. Failure to file a Form 40, or failure to answer truthfully, is a violation of the Commodity Exchange Act and CFTC regulations, and violators are subject to criminal or administrative sanctions. How to file a public comment, request CFTC Comment File documents, and make a FOIA request. The Whistleblower Program provides monetary incentives to individuals who come forward to report possible violations of the Commodity Exchange Act.
Trading by commodity index traders (CITs) has become an important aspect of financial topics relevant to the CFTC's mandate to regulate commodity future markets, commodity options markets, and the In this sense, hedging is a form of insurance. roll takes place between 30 and 40 days prior to contract expiration.
Reparations Program. The CFTC Reparations program is designed to provide an inexpensive, expeditious, fair, and impartial forum to handle customer complaints and resolve disputes between futures customers and commodity futures trading professionals. The Commodity Futures Trading Commission (Commission or CFTC) publishes the Commitments of Traders (COT) reports to help the public understand market dynamics. Specifically, the COT reports provide a breakdown of each Tuesday’s open interest for futures and options on futures markets in which 20 The U.S. Commodity Futures Trading Commission (CFTC) has seemingly increased the number of Form 40/40S requests it has sent to market participants in recent months in anticipation of the CFTC’s revised B. Some type of cheating or fraud that occurred after you had deposited funds to trade futures, options, swaps, forex, retail commodity, or leveraged transactions (for example, if someone used the funds you deposited to pay off someone else or you have asked for the return of your funds and have been refused). CFTC Form 40 Reporting Levels Managers who trade in the futures and commodities markets should be aware of the amount of contracts they are trading. For certain products, once a manager reaches a reporting level, the CFTC may request that the manager complete and submit a Form 40 to the CFTC.
The Whistleblower Program. The CFTC's Whistleblower Program provides monetary incentives to individuals who report possible violations of the Commodity Exchange Act that lead to a successful enforcement action, as well as privacy, confidentiality, and anti-retaliation protections for whistleblowers.
Reporting Bitcoin (or Other Virtual Currency) Trading in Response to Question 18 on Form 40 A reporting trader who trades or expects to trade Bitcoin and/or one or more other virtual currencies should select “OTHER (SPECIFY)” in response to question 18 on Form 40 and should specify Bitcoin and/or the other virtual currency(ies) that the reporting trader trades or expects to trade. Reparations Program. The CFTC Reparations program is designed to provide an inexpensive, expeditious, fair, and impartial forum to handle customer complaints and resolve disputes between futures customers and commodity futures trading professionals.
4 Aug 2014 We welcome the Commodity Futures Trading Commission (“CFTC” or / MarketSurveillance/CFTCMarketSurveillanceProgram/index.htm (last visited trader position data, transaction-level data, Form 40 information), while.
28 Sep 2016 Overnight index swaps. ▫ Category 1 firms to orderly functioning of commodity derivatives markets itself to file CFTC Form 40. ▫ The OCR markets, the Commodity Futures Trading Commission has improved the COT a “commercial” by filing a statement with the Commission (on CFTC Form 40) 31 Jan 2017 For physical commodities, the CFTC is proposing to define a bona be cleared in the “Clearing indicator” PET data field, or for identifying the Previously, Form 40 (which requests information about futures trading) and Form
The Commodity Futures Trading Commission (CFTC) is as an independent agency established in 1974 with the mandate to regulate commodity futures and
Commodity index Trading (“CiT”) - means: An investment strategy that consists of investing in an instrument (e.q., a commodity index fund, exchange-traded fund The Commodity Futures Trading Commission (Commission or CFTC) on the CFTC Form 40 and is subject to review by CFTC staff for reasonableness. CFTC into three trader classifications: non-commercial, commercial, and index traders. For the large trader reporting system of the Commodity Futures Trading Commission, the law covers the following: 1. The CFTC form 40. 2. The series '04 reports size and composition of the commodity derivatives markets, (b) permit the Commission to monitor and reportable position to file a Form 40—Statement of Reporting Trader with the Commission. 17 CFR Commodity Index Trading Indicator. All reporting traders that are filing a Form 40 pursuant to 17 CFR 18.04(b) (i.e. volume threshold Commodity Index Trading (“CIT”) - means: a. CFTC Form 40.
18 Nov 2013 The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting new rules and related forms to clearing member, customer type indicator, trading account numbers, and numerous other data points. Index position data compiled by the CFTC are Received in revised form 1 July the U.S. Congress and Commodity Futures Trading Commission variety forms but all of the studies employ time-series Granger traders in the CFTC's Form 40, of Traders charts for Commodity futures with weekly data as reported by the CFTC. US Dollar Index (DX) · Bitcoin CME Futures (BT) · British Pound (B6) A trading entity generally gets classified as a "commercial" trader by filing a statement with the Commission, on CFTC Form 40: Statement of Reporting Trader, that it 19 Oct 2015 The CEA granted the Commodity Exchange Commission the authority, 1974 with the enactment of the Commodity Futures Trading Commission Act of 1974. Form 40 provides the CFTC with basic identifying information about the and the reportable level for S&P 500 Index contracts is 1,000 contracts. 11 Sep 2008 A. Notional Value of Commodity Index Trading . information form for certain large traders on regulated futures exchanges 40 The Commission does not publish Index Traders positions for WTI crude oil futures, for reasons.