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Statement of Reporting Trader, CFTC Form 40
https://www.cftc.gov/sites/default/files/idc/groups/public/@forms/documents/file/cftcform40.pdf
WebGENERAL INSTRUCTIONS. 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. What to File.
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Large Trader Reporting Program | CFTC
https://www.cftc.gov/IndustryOversight/MarketSurveillance/LargeTraderReportingProgram/index.htm
WebIn 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 …
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Large Traders | CFTC
https://www.cftc.gov/Forms/largetraderforms.html
WebInstructions & Remarks. Statement of Reporting Trader*. Form 40 (CFTC Portal) Part 18.04. Ownership and Control Reporting. Statement of Cash Positions for Unfixed-Price Cotton "on Call". Form 304.
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CFTC Form 40 – Statement of Reporting Trader | Hedge Fund …
https://hedgefundlawblog.com/cftc-form-40-%E2%80%93-statement-of-reporting-trader.html
WebSep 24, 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 ...
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Frequently Asked Questions - portal.cftc.gov
https://portal.cftc.gov/HelpDesk/FAQ
WebIn order to file Form 40, please register as a Large Trader (LTR) on the CFTC Portal. Refer to the Register as an LTR FAQ for further instructions. Where do I locate the CFTC Code number to register as an LTR?
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U.S. COMMODITY FUTURES TRADING COMMISSION
https://portal.cftc.gov/HelpDesk/FAQ?handler=DownloadFileById&id=29
WebWhere to file — The Form 40 should be submitted (a) via the CFTC's web-based Form 40 submission process at portal cftc gov. (b) via a secure FTP data feed to the Commission, or (c) as otherwise instructed by the Commission or its designee.
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eCFR :: Appendix A to Part 18, Title 17 -- Form 40
https://www.ecfr.gov/current/title-17/chapter-I/part-18/appendix-Appendix%20A%20to%20Part%2018
WebWhen 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
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Primer on CFTC Form 40 and related reporting and ... - Lexology
https://www.lexology.com/library/detail.aspx?g=ee52d429-eb68-4b25-be3c-ae307074a5ca
WebDec 1, 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...
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Updated: CFTC FORM 40/40S reporting requirements - Lexology
https://www.lexology.com/library/detail.aspx?g=b98cb5b6-a1c3-4db4-8d81-6d760daba85b
WebJul 18, 2014 · Updated: CFTC FORM 40/40S reporting requirements. Latham & Watkins LLP. To view this article you need a PDF viewer such as Adobe Reader . If you can't read this PDF, you can view its...
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CFTC’s Office of Data and Technology Improves Online Filing Portal …
https://www.cftc.gov/PressRoom/PressReleases/7612-17
WebSep 19, 2017 · The updated online filing portal for submitting CFTC Form 40 improves the functionality of the form and adds new, more user-friendly features, while collecting essentially the same information. The online portal now includes the following new features: Wizard-Style Form: A new wizard-style version of CFTC Form 40 allows users to better …
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