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CFTC Launches Updated Online Portal to File Form 40

The CFTC launched an updated online filing portal to submit CFTC Form 40 (Statement of Reporting Trader). Form 40 collects identifying information from traders that "hold or control a reportable futures, options or swaps position." The revamped portal contains the following new features:

  • "Wizard-Style Form" that helps users more easily navigate the different sections of the form;

  • "Auto-Save Feature" that allows users to exit the portal without losing previously entered information; and

  • "PDF Version" that allows users to generate PDFs of submitted forms for their records.

Primary Sources

  1. CFTC Press Release: Office of Data and Technology Improves Online Filing Portal for CFTC Form 40 (September 19, 2017)
  2. CFTC Online Filing Portal
  3. CFTC Form 40

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Tags

Regulated Activities
Regulatory Reporting
Regulated Entities
FCMs and IBs, Floor Brokers Traders / Investors / Counterparties
Regulated Products
Futures / Security Futures Swaps / SBS
Body of Law
CEA Regulation
Jurisdiction
US - Federal
Organization
CFTC, NFA, CFTC Markets
Sub-Author
CFTC