Other Submissions: Forms & Submissions
This page contains forms and documents related to the filing of acknowledgement letters by Futures Commission Merchants (FCMs) and Derivatives Clearing Organizations (DCOs), instructions and a form for notifying the CFTC of Unreported Trade Options, and a form for submitting Notice Filings for Exemptions from Position Aggregation. More information about industry filings is available in the Industry Oversight section.
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Submission |
Forms |
Rules |
Instructions & Remarks |
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Depository or Fund Manager Acknowledgement Letter for Customer Fund |
File an Acknowledgement Letter (HTML)
FCMs – File Firm-Specific Acknowledgement Letter via WinJammer
DCOs – File via the CFTC Portal |
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Notice Filing for Exemptions from Position Aggregation |