Nfa large trader reporting
firm’s name as the reporting trader. If the futures or option trading is done in the name of an individual, list the reporting trader’s last name, first name, and middle initial. 2. Principal business and occupation of the reporting trader. Show the principal business or occupation of reporting trader. Investment Adviser Compliance “To Do” List for 2020 ... Jan 14, 2020 · CPOs are also required to file this report electronically with NFA using EasyFile. The filing must be made by March 30, 2020. MUTUAL FUNDS Form N-PORT (Large Fund Complexes). Large fund families (those with greater than $1 billion in assets) must file Form N-PORT reporting month end information for each month-end in each fiscal quarter no later than 60 days after fiscal quarter-end. CFTC Form 40 – Statement of Reporting Trader | Hedge Fund ... For managers which are registered with the NFA as either a commodity pool operator (CPO) or commodity trading adviser (CTA), the CFTC may send a request for the manager to complete and file a Form 40 – Statement of Reporting Trader. This request is also referred to as a “Special Call” and CFTC regulations require every trader that holds or controls a reportable futures and option position to file …
Large Trader Data. Under the Commission's LTRS, clearing members, FCMs, and foreign brokers (collectively called reporting firms) file daily reports with the
Mar 09, 2012 · The new SEC Rule 13h-1, the large trader reporting rule, became effective. Starting on April 30, 2012, broker dealers will be required to maintain records of large trader trading, similar to records maintained relating to the electronic blue sheet system. Further, supplemental information will … Large Trader financial definition of Large Trader Starting in 2014, the FERC, continuing to expand its surveillance capabilities, began receiving a daily feed of data from the CFTC's Large Trader Report, which includes the open financial positions for natural gas and electric products that are traded on exchanges for each large trader. CFTC Charges FX Trader Jason Amada and Firm with Fraud ...
Regulatory Circular RG15-013 . Other Persons Subject to Large Trader Reporting Requirements . From: Regulatory Services Division. RE: Large Trader Reporting Systems Requirements. submit large trader positions to the CFTC and NFA in its capacity as to CFE’s regulatory services
Frequently Asked Questions about Electronic Blue Sheets ... 1. For purposes of the SEC Large Trader Reporting Rule (SEA Rule 13h-1), what is the format of the LTID and the optional suffix? According to the staff of the SEC’s Division of Trading and Markets, an LTID can be a maximum of 13 characters. Best NFA Regulated FX Brokers | NFA ... - 100 Forex Brokers (Nowadays, NFA registered brokers are required to have net capital of no less than $15 000 000 to guarantee their client’s positions. This minimum raises to $20 000 000 starting from May 19th, 2009). At the end of each week, NFA registered Forex brokers report their account balances to the NFA.
Investment Advisers Compliance “To Do” list for SEC ...
CFTC Ownership and Control Reporting The Commodities Futures Trading Commission (CFTC) has historically maintained rules which require FCMs to report information relating to clients holding positions equal to or exceeding defined thresholds (e.g., Large Trader Reporting). Investment Advisers Compliance “To Do” list for SEC ...
Each CPO Member that operates pools for which it has reporting obligations under Part 4 of the CFTC's regulations must, using EasyFile, report to NFA or the CFTC, on a quarterly basis, specific information about the firm and the pools that it operates. These pool quarterly reports (PQR) are due within 60 days of the quarters ending March 31, June 30, and September 30.
40/S Statement of Reporting Trader 204 Cash Positions of Grain Traders (including Oilseeds and Products) 304 Cash Positions of Cotton Traders 102/A/B/S 71 Identification of Special Accounts, Volume Threshold Accounts, and Consolidated Accounts Risk Exposure and … CFTC Final Rule: Large Trader Reporting - Markets Reform Wiki On July 7, 2011, the CFTC held an open meeting to discuss five final rulemakings under the Dodd-Frank Act.Among the rules approved at the meeting was a final rule regarding large trader reporting for physical commodity swaps.Open Meeting on Five Final Rule Proposals under the Dodd-Frank Act.CFTC.
CFTC to publish new large-trader report for financial futures Jul 21, 2010 · The new Traders in Financial Futures report uses the same data from COT reports but breaks it into new categories. CFTC to publish new large-trader report for financial futures | … The SEC's Large Trader Reporting Rule Is Now On-Line ...