CFTC Keeps Tabs on Traders Via Form Renewal
Published Date: 8/6/2026
Notice
Summary
The Commodity Futures Trading Commission (CFTC) wants to keep collecting info from traders and accounts to better track who’s who in the futures and swaps markets. They’re asking for public feedback by October 5, 2026, before renewing these reporting forms. If you’re involved in trading, this affects you, but no new fees or big changes are planned—just a smooth continuation of current rules.
Analyzed Economic Effects
2 provisions identified: 0 benefits, 2 costs, 0 mixed.
Mandatory Ownership and Control Filings
If you are a market participant such as a futures commission merchant, clearing member, foreign broker, trader with reportable positions, or a controller or owner of volume threshold or reportable sub‑accounts, you must file identification and trader/account reports with the CFTC. The rules require Forms 102A/102B/102S, Form 71, Form 40 (and 40S after a special call), and recordkeeping under §18.05; some filings (e.g., Form 71 and 40S) are required when the Commission issues a special call.
Estimated Paperwork Burden (Hours & Respondents)
The CFTC estimates this collection will involve 1,779 respondents with an average burden of 102 hours per respondent and an estimated total annual burden of 188,980 hours. The agency requests public comment on the accuracy of these estimates and ways to reduce respondent burden.
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Key Dates
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