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.
Personalized for You
How does this regulation affect your finances?
Personalize government policy and PRIA will tell you what this federal register document means for your household, plus every other regulation we track. PRIA reads each provision against your financial profile to show you exactly what matters to your wallet.
Key Dates
Department and Agencies
Related Federal Register Documents
2026-19290, Privacy Act Regulations
The Commodity Futures Trading Commission (CFTC) is reopening the comment period for its proposed Privacy Act rule changes, which affect how insider risk program records are handled. This gives everyone 10 more days, until October 1, 2026, to share their thoughts. No new costs or deadlines beyond this extension are involved, but it’s a key chance to weigh in on privacy protections.
2026-14509, Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Starting August 17, 2026, swap dealers and big swap players get some margin rule relief! New rules say certain new investment funds won’t have to exchange initial margin for up to three years, and more types of money market funds can now count as good collateral. Plus, the rules tweak how much value gets discounted on some assets, making it easier and cheaper to trade uncleared swaps.
2026-05635, Application of the Federal Securities Laws to Certain Types of Crypto Assets and Certain Transactions Involving Crypto Assets
Starting March 23, 2026, the SEC and CFTC are making it clear that some crypto assets and transactions must follow federal securities laws. This means crypto companies and investors need to play by new rules to keep things fair and safe. Expect more transparency and possible costs for compliance as the government steps up oversight in the crypto world.
2026-20446, Agency Information Collection Activities Under OMB Review
The Commodity Futures Trading Commission is asking for public feedback on a new paperwork plan that affects traders and companies dealing with futures. They want to make sure the info they collect is useful and not too costly or time-consuming. You’ve got until November 5, 2026, to share your thoughts online or by mail—so don’t miss out!
2026-19338, Agency Information Collection Activities: Notice of Intent To Extend
The Commodity Futures Trading Commission (CFTC) wants to keep collecting info about off-exchange foreign currency trades and is asking the public to share their thoughts. This is a routine renewal with no new fees or big changes, but comments are due by November 23, 2026. If you’re involved in these currency transactions, this is your chance to speak up!
2026-19006, Whistleblower Award Determination
The Commodity Futures Trading Commission is updating its whistleblower rules to make the award process faster, clearer, and fairer for people who report wrongdoing. These changes, effective October 16, 2026, also fix some technical details and reflect the Whistleblower Office’s move to a new department. Whistleblowers can expect a smoother experience and better protection when helping keep markets honest.
Previous / Next Documents
Previous: 2026-16039, Notice of Scope Ruling Applications Filed in Antidumping and Countervailing Duty Proceedings
The U.S. Department of Commerce (Commerce) received scope ruling applications, requesting that scope inquiries be conducted to determine whether identified products are covered by the scope of antidumping duty (AD) and/or countervailing duty (CVD) orders and that Commerce issue scope rulings pursuant to those inquiries. In accordance with Commerce's regulations, we are notifying the public of the filing of the scope ruling applications listed below in the month of June 2026.
Next: 2026-16041, Citric Acid and Certain Citrate Salts From the People's Republic of China: Preliminary Results of the Antidumping Duty Administrative Review; 2024-2025
The U.S. Department of Commerce (Commerce) preliminarily determines that RZBC Group Co., Ltd., RZBC Co., Ltd., RZBC Import & Export Co., Ltd., and RZBC (Juxian) Co., Ltd. (collectively, RZBC) made sales of citric acid and certain citrate salts (citric acid) from the People's Republic of China (China) at less than normal value (NV) during the period of review (POR) May 1, 2024, through April 30, 2025. Interested parties are invited to comment on these preliminary results of review.