The following are listings for submissions to CFTC:
The following forms are available for downloading from our website. These forms are stored in Adobe Acrobat PDF format. Adobe Acrobat Reader will allow you to view and print the PDF files.
CFTC Form Number | Title |
---|---|
Form 5 | Exempt Boards of Trade Annual Certification |
Form 30 | Reparations Complaint Form* |
Form 40 | Statement of Reporting Trader* |
Form 102 | Identification of "Special Accounts"* |
Form 204 | Statement of Cash Positions in Grains* |
Form 205 | Exempt Commercial Market Annual Certification |
Form 304 | Statement of Cash Positions in Cotton* |
Form DCO | Derivatives Clearing Organization Application for Registration |
Form SDR | Swap Data Repository Application or Amendment to Application for Registration |
Form TCF | Tip, Complaint or Referral* |
Form WB-APP | Application for Award for Original Information Submitted Pursuant to Section 23 of the Commodity Exchange Act* |
Information on filing of Futures Commission Merchants and Introducing Brokers financial reports, including CFTC Forms 1FR-FCM and 1FR-IB, is available on NFA's website.
Type | Instructions |
---|---|
Whistleblower Program | Information about the Program File a Form TCR electronically Printable form TCR - Tip, Complaint or Referral* Printable form WB-APP - Application for Award for Original Information Submitted Pursuant to Section 23 of the Commodity Exchange Act* |
Reporting to CFTC Enforcement | Enforcement Complaint Form By phone: 866-FON-CFTC (866-366-2382) |
Reparations Program | Information about the Program Form 30 - Reparations Complaint Form* |
Type | CFTC Rule | Instructions |
---|---|---|
Large Trader Position Data for Futures and Options | Part 17 | Large Trader Reporting Program Position Entry for Reportable Traders (PERT Online) |
Large Trader Position Data for Swaps | Part 20 | Swaps Larger Trader Reporting |
Clearing Member Data | Part 16 | Large Trader Reporting Program |
Type | CFTC Rule | Instructions |
---|---|---|
Product Terms & Conditions Trading Organization Rules Clearing Organization Rules |
Part 40 | Instructions CFTC Rules and Products Submission Cover Sheet Email to submissions@cftc.gov |
Request for Designation as a Contract Market | Part 38 | Instructions Email to secretary@cftc.gov |
Registration as a Derivatives Clearing Organization | Part 39 Amendments: 76 FR 69334 (November 8, 2011) |
Instructions Form DCO Email to submissions@cftc.gov |
Registration as a Swap Data Repository | Part 49 |
Instructions Form SDR Email to submissions@cftc.gov |
Registration as an Intermediary | Various | National Futures Association Online Registration System (ORS) Email to secretary@cftc.gov |
Type | Title |
---|---|
Public Comments | How to File a Public Comment |
Comment File Requests | Request for CFTC Comment File Documents |
FOIA | FOIA Request Form |
Web Questions | questions@cftc.gov |
* indicates PDF fillable form