What is a 102A?
Form 102A: This is an updated version of current Form 102. Form 102A collects information with respect to position-based special accounts in the futures market. Special accounts, defined in part 15 of the Commission’s regulations, refer to any commodity futures or option account with a reportable position.
What is a CFTC no action letter?
No-Action. A no-action letter is a written statement by the staff of a Division of the Commission or its Office of the General Counsel that such staff will not recommend that the Commission commence enforcement action for failure to comply with a specific provision of the Act or Commission regulations.
What is a CFTC Large Trader?
The large-trader reporting framework currently in place under Part 20 of the CFTC’s regulations is structured to collect information on positions in open contracts in any commodity (or commodity option) position held by any person on (or subject to the rules of) a board of trade which have not expired, been exercised …
What is CFTC OCR?
Ownership & Control Reporting (OCR)
Who reports to CFTC?
Under the Commission’s LTRS, clearing members, FCMs, and foreign brokers (collectively called reporting firms) file daily reports with the Commission under Part 17 of the CFTC’s regulations.
How do you read CFTC data?
CFTC
- Go to www.CFTC.gov.
- Select Market Reports.
- Select Commitments of Traders.
- The next page will allow you to view the COT Reports with choices to filter the data by the following, as well as choose whether you would like to view the data in a long or short format:
What is no action relief?
No-action relief is a mechanism that allows registrants to obtain certain assurances when their conduct may touch upon a gray area of regulation, or even may be technically proscribed, but does not raise the policy concerns underlying a particular rule.
What are NMS securities?
(54) NMS security means any security or class of securities for which transaction reports are collected, processed, and made available pursuant to an effective transaction reporting plan, or an effective national market system plan for reporting transactions in listed options.
What is an OCR profile?
An OCR Profile is a saved, reusable set of parameters that you use when creating an OCR Set. To run an OCR job, you must first create an OCR Profile. If no Profiles have been created, you are unable to save or run an OCR Set.
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