federal_register: 2013-26789

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
2013-26789 Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 Rule The Commodity Futures Trading Commission ("Commission" or "CFTC") is adopting new rules and related forms to enhance its identification of futures and swap market participants. These final rules will leverage the Commission's current position and transaction reporting programs by requiring the electronic submission of trader identification and market participant data on amended Forms 102 and 40, and on new Form 71. The new and amended forms require the reporting of certain trading accounts active on reporting markets that are designated contract markets or swap execution facilities. Among other information, the forms collect ownership and control information with respect to both position-based special accounts and trading accounts that meet specified volume-based reporting levels. 2013-11-18 2013 11 https://www.federalregister.gov/documents/2013/11/18/2013-26789/ownership-and-control-reports-forms-102102s-4040s-and-71 https://www.govinfo.gov/content/pkg/FR-2013-11-18/pdf/2013-26789.pdf Commodity Futures Trading Commission 77 The Commodity Futures Trading Commission ("Commission" or "CFTC") is adopting new rules and related forms to enhance its identification of futures and swap market participants. These final rules will leverage the Commission's current position and...  

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