Not Your Grandmother’s Form 40

By Athena Eastwood, Anthony Mansfield, Paul Pantano, Neal Kumar and Natalie Mitchell

A common tool that the Commodity Futures Trading Commission (“CFTC” or the “Commission”) relies upon to conduct market surveillance, including monitoring compliance with position limits, will soon enter the digital age – the Form 40 and Form 40S.  The CFTC’s Division of Market Oversight (“DMO”) will issue the new Form 40/40S pursuant to Special Calls to market participants that hold a reportable position in certain CFTC-regulated futures and swaps markets.  At a high-level, the Form 40/40S requests information about the ownership and control structure of the reportable trader.  read more

This entry was posted in CFTC, Commodity Trading, Enforcement and Investigations, Mining/Metals, Oil & Gas, Regulation. Bookmark the permalink.

Comments are closed.