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Reportable Positions. Clearing members, futures commission merchants, and foreign brokers (collectively called reporting firms) file daily reports with the Commission. Those reports show the futures and option positions of traders that hold positions above specific reporting levels set by CFTC regulations.
What are the violations of the Commodity Exchange Act?
CFTC Enforcement Overview In general, violations of the CEA include, among other things: Fraud (for example, fraudulent solicitation, misappropriation of customer funds, issuing false customer account statements, mishandling customer funds, Ponzi schemes, affinity schemes)
What is a SEF in the CFTC?
Swap Execution Facilities (SEFs) are trading facilities that operate under the regulatory oversight of the CFTC, pursuant to Section 5h of the Commodity Exchange Act (the Act), 7 U.S.C. 7b-3.
How do you qualify for the CFTC whistleblower?
To be eligible for a whistleblower award, you must submit a Form TCR. Your information could lead the CFTC to open a new investigation, re-open a closed investigation, or pursue a new line of inquiry in an ongoing investigation.
How do I report to CFTC?
If you do not wish to be eligible for a potential award and receive anti-retaliation protections, you can report information electronically to the Division of Enforcement on a Complaint Form or by calling us toll-free at 866-FON-CFTC (866-366-2382).
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$20 first record $15 every additional record ordered and paid for at the same time - public health o
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 is DCM CFTC?
DCMs offer CFTC-regulated exchange-traded derivatives products, such as futures and options. Unlike swap execution facilities (SEFs), which permit open access to market participants, DCMs can only be accessed by entering into an agreement with a futures commission merchant (FCM) that is a member of that DCM.
Related links
Division of Market Oversight Guidebook for Part 20 Reports
by ALLPVARE OBSOLETE Your firm can contact our Technical Support representative at. SwapsTechSupport@cftc.gov to verify the results of test data you have submitted. ii. Assembly and
Federal Register/Vol. 77, No. 146/Monday, July 30, 2012/
Jul 30, 2012 Trading Commission (Commission or. CFTC) is adopting regulations to establish a schedule to phase in compliance with the clearing requirement
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