Other Submissions

Other Submissions: Forms and Submissions

This page contains forms and documents related to the filing of acknowledgement letters by Futures Commission Merchants (FCMs) and Derivatives Clearing Organizations (DCOs), instructions and a form for notifying the CFTC of Unreported Trade Options, and a form for submitting Notice Filings for Exemptions from Position Aggregation. More information about industry filings is available in the Industry Oversight section.

 

Submission

Forms

Rules

Instructions & Remarks

Depository or Fund Manager Acknowledgement Letter for Customer Fund

File an Acknowledgement Letter (HTML)

 

FCMs – File Firm-Specific Acknowledgement Letter via WinJammer

 

DCOs – File via the CFTC Portal

Parts 1.20, 1.26, 22.5, and 30.7

General Instructions

 

DSIO Notice to FCMs and Depositories of Procedures for the Filing of Acknowledgment Letters for Accounts Holding Customer Funds and Other Financial Reporting Requirements (PDF)

Notice Filing for Exemptions from Position Aggregation

Notice Filing (HTML)

Part 150.4