CFTC renews a stack of trader ownership and account forms
Published Date: 10/29/2026
Notice
Summary
The Commodity Futures Trading Commission wants to keep collecting info from traders and account holders using Forms 102/102S, 40/40S, and 71. This helps them track who owns and controls trading accounts. If you’re involved in trading, you might need to keep submitting these forms, and you have until November 30, 2026, to share your thoughts on this plan.
Analyzed Economic Effects
5 provisions identified: 0 benefits, 5 costs, 0 mixed.
Renewal of trader/account ID reporting
The CFTC is renewing its information collection that requires submission of Forms 102/102S, 40/40S, and 71 to identify who owns and controls trading accounts. The agency estimates 1,779 respondents, an average of 102 hours per respondent, and a total annual burden of 188,980 hours. Comments on the renewal are due on or before November 30, 2026.
Who must file Forms 102A/102B/71
Under Sec. 17.01, futures commission merchants (FCMs), clearing members, and foreign brokers must identify new special accounts to the Commission on Form 102A. Clearing members must identify volume threshold accounts on Form 102B. Omnibus volume threshold account originators and omnibus reportable sub-account originators must identify reportable subaccounts on Form 71 when requested via a special call.
Form 40 and 40S submissions on special call
Sec. 18.04 requires collection of information via Form 40 from traders who own, hold, or control reportable positions, volume threshold account controllers, owners of volume threshold accounts, reportable sub-account controllers, and owners of reportable subaccounts. Sec. 20.5(b) requires persons subject to books or records under Sec. 20.6 to complete a 40S filing after a special call by the Commission.
Form 102S for swap/customer consolidated accounts
Sec. 20.5(a) requires all reporting entities to submit Form 102S for swap counterparty or customer consolidated accounts that have reportable positions. This continues the requirement that consolidated swap/customer accounts with reportable positions be identified to the Commission.
Recordkeeping duties under Sec. 18.05
Sec. 18.05 imposes recordkeeping requirements on traders who own, hold, or control reportable futures or options on futures positions; volume threshold account controllers; persons who own volume threshold accounts; reportable sub-account controllers; and persons who own reportable subaccounts.
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