Forms & Submissions

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region-content"> <article data-history-node-id="186576" about="/Forms/index.htm"> <div> <h1 class="page-header"> <span>Forms & Submissions</span> </h1> <div class="cards-container"> <div> <div class="card paragraph paragraph--type--card paragraph--view-mode--default"> <div class="paragraph__column"> <h3> <a href="/Forms/OCR/index.htm"> Ownership & Control Reporting Information </a> </h3> <a href="/Forms/OCR/index.htm"> <div class="field field--name-field-card-body field--type-text-long field--label-hidden field--item"><p>Forms and submissions information for Ownership and Control Reporting (OCR).</p> </div> </a> </div> </div> </div> <div> <div class="card paragraph paragraph--type--card paragraph--view-mode--default"> <div class="paragraph__column"> <h3> <a href="/Forms/tipsandcomplaints.html"> Tips & Complaints </a> </h3> <a href="/Forms/tipsandcomplaints.html"> <div class="field field--name-field-card-body field--type-text-long field--label-hidden field--item"><p>Forms and submissions information for filing tips and complaints.</p> </div> </a> </div> </div> </div> <div> <div class="card paragraph paragraph--type--card paragraph--view-mode--default"> <div class="paragraph__column"> <h3> <a href="/Forms/dcmforms.html"> Designated Contract Markets </a> </h3> <a href="/Forms/dcmforms.html"> <div class="field field--name-field-card-body field--type-text-long field--label-hidden field--item"><p>Forms and submissions information for Designated Contract Markets (DCMs).</p> </div> </a> </div> </div> </div> <div> <div class="card paragraph paragraph--type--card paragraph--view-mode--default"> <div class="paragraph__column"> <h3> <a href="/Forms/fcmforms.html"> Futures Commissions Merchants/Reporting Firms </a> </h3> <a href="/Forms/fcmforms.html"> <div class="field field--name-field-card-body field--type-text-long field--label-hidden field--item"><p>Forms and submissions information for Futures Commissions Merchants (FCMs).</p> </div> </a> </div> </div> </div> <div> <div class="card paragraph paragraph--type--card paragraph--view-mode--default"> <div class="paragraph__column"> <h3> <a href="/Forms/sdrforms.html"> Swap Data Repositories </a> </h3> <a href="/Forms/sdrforms.html"> <div class="field field--name-field-card-body field--type-text-long field--label-hidden field--item"><p>Forms and submissions information for Swap Data Repositories (SDRs).</p> </div> </a> </div> </div> </div> <div> <div class="card paragraph paragraph--type--card paragraph--view-mode--default"> <div class="paragraph__column"> <h3> <a href="/Forms/sefforms.html"> Swap Execution Facilities </a> </h3> <a href="/Forms/sefforms.html"> <div class="field field--name-field-card-body field--type-text-long field--label-hidden field--item"><p>Forms and submissions information for Swap Execution Facilities (SEFs).</p> </div> </a> </div> </div> </div> <div> <div class="card paragraph paragraph--type--card paragraph--view-mode--default"> <div class="paragraph__column"> <h3> <a href="/Forms/largetraderforms.html"> Large Traders </a> </h3> <a href="/Forms/largetraderforms.html"> <div class="field field--name-field-card-body field--type-text-long field--label-hidden field--item"><p>Forms and submissions information for Large Traders.</p> </div> </a> </div> </div> </div> <div> <div class="card paragraph paragraph--type--card paragraph--view-mode--default"> <div class="paragraph__column"> <h3> <a href="/Forms/intermediariesforms.html"> Intermediaries </a> </h3> <a href="/Forms/intermediariesforms.html"> <div class="field field--name-field-card-body field--type-text-long field--label-hidden field--item"><p>Forms and submissions information for Intermediaries.</p> </div> </a> </div> </div> </div> <div> <div class="card paragraph paragraph--type--card paragraph--view-mode--default"> <div class="paragraph__column"> <h3> <a href="/Forms/othersubmissions.html"> Other Submissions </a> </h3> <a href="/Forms/othersubmissions.html"> <div class="field field--name-field-card-body field--type-text-long field--label-hidden field--item"><p>Forms for Depository or Fund Manager Acknowledgement Letter for Customer Fund, Unreported Trade Options, and Notice Filings for Exemptions from Position Aggregation.</p> </div> </a> </div> </div> </div> <div> <div class="card paragraph paragraph--type--card paragraph--view-mode--default"> <div class="paragraph__column"> <h3> <a href="/Forms/comments.html"> Comments, Questions, & Requests </a> </h3> <a href="/Forms/comments.html"> <div class="field field--name-field-card-body field--type-text-long field--label-hidden field--item"><p>How to file a public comment, request CFTC Comment File documents, and make a FOIA request.</p> </div> </a> </div> </div> </div> </div> </div> </article> </div> </section> <div class="visible-xs" role="complementary"> <div class="region region-sidebar-first"> <section id="block-formssubmissions" class="block block-block-content block-block-contenta9fe8e7a-4d6f-46b3-9531-c73e9d3b4c59 clearfix"> <div class="field field--name-body field--type-text-with-summary field--label-hidden field--item"><nav id="block-left-main-menu-bank-participation" role="navigation"> <h2 id="block-left-main-menu-menu-bank-participation">Forms & Submissions</h2> <ul class="menu menu--main nav navbar-nav"> <li><a data-drupal-link-system-path="node/122976" href="/Forms/OCR/index.htm">Ownership & Control Reporting (OCR)</a></li> <li><a data-drupal-link-system-path="node/123011" href="/Forms/tipsandcomplaints.html">Tips & Complaints</a></li> <li><a data-drupal-link-system-path="node/122996" href="/Forms/dcmforms.html">Designated Contract Markets</a></li> <li><a data-drupal-link-system-path="node/122986" href="/Forms/fcmforms.html">Futures Commissions Merchants/Reporting Firms Forms</a></li> <li><a data-drupal-link-system-path="node/122961" href="/Forms/sdrforms.html">Swap Data Repositories</a></li> <li><a data-drupal-link-system-path="node/123016" href="/Forms/sefforms.html">Swap Execution Facilities</a></li> <li><a data-drupal-link-system-path="node/122991" href="/Forms/largetraderforms.html">Large Traders</a></li> <li><a data-drupal-link-system-path="node/123006" href="/Forms/intermediariesforms.html">Intermediaries</a></li> <li><a data-drupal-link-system-path="node/122966" href="/Forms/othersubmissions.html">Other Submissions</a></li> <li><a data-drupal-link-system-path="node/123001" href="/Forms/comments.html">Comments, Questions, & Requests</a></li> </ul> </nav> </div> </section> </div> </div> <aside class="col-sm-2" role="complementary"> <div class="region region-sidebar-second"> <section id="block-cftc-whistleblowerblocknew" class="block block-block-content block-block-contentc3975abb-ec6e-4b30-b061-c67e2d1d6c6b clearfix"> <div class="field field--name-body field--type-text-with-summary field--label-hidden field--item"><a href="https://www.whistleblower.gov"><img alt="Whistleblower Image" data-entity-type="file" data-entity-uuid="124b79f5-06e7-4478-880d-c41d798745ed" height="225" src="/sites/default/files/inline-images/WhistleblowerAd_0.png" width="153" class="align-center" loading="lazy"></a> <p> </p> </div> </section> </div> </aside> </div> </div> </div> <footer class="footer container"> <div class="region region-footer"> <section id="block-footerblock" class="block block-block-content block-block-content1bf693f6-436f-4c72-90dc-c7858e77abf1 clearfix"> <div class="field field--name-body field--type-text-with-summary field--label-hidden field--item"><div id="footer-container"><div id="links"><div class="link-group"><h4>Resources</h4><ul><li><a href="http://www.ecfr.gov/cgi-bin/text-idx?gp=&SID=5dc23cf6b50574003213bb5505efda0e&mc=true&tpl=/ecfrbrowse/Title17/17chapterI.tpl" aria-label="CFTC Regulations from ECFR.gov">CFTC Regulations</a></li><li><a href="/LawRegulation/CommodityExchangeAct/index.htm">Commodity Exchange Act</a></li><li><a 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