September 19, 2017

CFTC’s Office of Data and Technology Improves Online Filing Portal for CFTC Form 40

Washington, DC — The U.S. Commodity Futures Trading Commission’s (CFTC) Office of Data and Technology (ODT) announced today that it has launched an improved online filing portal for submitting CFTC Form 40 that addresses some industry concerns.

The CFTC operates a large trader reporting program to collect certain information on market participants, and uses that information for many mission-critical objectives that help ensure the integrity of the futures and swaps markets. As part of its large trader reporting program, the CFTC routinely collects certain trader-identifying information on CFTC Form 40 (Statement of Reporting Trader) from traders that hold or control a reportable futures, options or swaps position, in accordance with reporting thresholds in Parts 15 and 20 of the CFTC’s regulations.

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 navigate through the different sections of the form. This makes completion faster, more responsive and user-friendly, and replaces the previous version of the form, which appeared as one long page.
  
  
• Auto-Save Feature: Users can now disconnect or leave the online portal at any time in the data entry process and not lose information already entered because of a new auto-save function. This feature automatically saves throughout the data submission process.
  
  
• PDF Version: The updated online portal will now give users the option to generate PDF versions of their final submitted forms for their own records. The updated online portal will continue to provide the option to generate an XML version of users’ submitted form for use if users need to update their submission at a later date.

Access the improved online filing portal at CFTC Form 40.

Last Updated: September 19, 2017