OCR Form 102(s)
17 CFR § 17.01(a) requires each futures commission merchant, clearing member, or foreign broker to identify and report its special accounts to the Commission on Form 102. 17 CFR § 17.01(b) requires each clearing member to identify and report its volume threshold accounts to the Commission on Form 102. In addition, 17 CFR § 20.5 requires each reporting entity holding or carrying a consolidated account with a reportable position to identify and report the counterparty of such account to the Commission by submitting a 102S filing.
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Complete Metadata
| @type | Dataset |
|---|---|
| accessRestriction |
[ { "@type": "AccessRestriction", "restrictionNote": "Access to this dataset is restricted to authorized CFTC personnel for internal regulatory, surveillance, enforcement, or operational purposes. The dataset contains non‑public market, proprietary, or enforcement‑sensitive information protected from disclosure under Commodity Exchange Act § 8 (7 U.S.C. § 12). Public release is prohibited. Access may only be granted to CFTC staff with a documented need‑to‑know consistent with statutory confidentiality, security requirements, and internal CFTC controls", "restrictionStatus": "Restricted - Fully", "specificRestriction": "FOIA (b)(3) Statute" } ] |
| accessRights | Restricted access. Contains non-public regulatory information. |
| contactPoint |
{ "fn": "CDO", "hasEmail": "mailto:questions@cftc.gov" } |
| contributor |
[ { "name": "cdo@cftc.gov", "@type": "Agent" } ] |
| cuiRestriction |
{ "@type": "CUIRestriction", "cuiBannerMarking": "CUI//FSI", "designationIndicator": "CFTC", "requiredIndicatorPerAuthority": [ "12 CFR 4.37 decontrol trigger: 25 years from last modified date or case close, whichever is later." ] } |
| description | 17 CFR § 17.01(a) requires each futures commission merchant, clearing member, or foreign broker to identify and report its special accounts to the Commission on Form 102. 17 CFR § 17.01(b) requires each clearing member to identify and report its volume threshold accounts to the Commission on Form 102. In addition, 17 CFR § 20.5 requires each reporting entity holding or carrying a consolidated account with a reportable position to identify and report the counterparty of such account to the Commission by submitting a 102S filing. |
| distribution |
[ { "title": "OCR Web Page", "accessURL": "https://www.cftc.gov/Forms/OCR/index.htm", "mediaType": "application/html" }, { "title": "OCR Technical Guidance", "format": "PDF", "mediaType": "application/pdf", "downloadURL": "https://www.cftc.gov/idc/groups/public/@forms/documents/generic/ocrtechguide5.1.pdf" } ] |
| identifier | CFTC-06 |
| keyword |
[ "Form 102, 102B, 102A" ] |
| license | The agency has not yet determined Open License requirements |
| modified | 2026-08-18 |
| publisher |
{ "name": "U.S. Commodity Futures Trading Commission", "@type": "org:Organization" } |
| rights |
[ "The agency has not yet determined exempt from disclosure status under FOIA", "The data asset is not a public data asset eligible for disclosure in the Federal Data Catalog", "The data asset is not an Open Government data asset", "The data asset is not subject to open license requirements due to existing limitations or restrictions on government distribution of the asset", "The data asset is subject to Open Format" ] |
| spatial |
{ "bbox": { "type": "Polygon", "coordinates": [ -77.03637, 38.89511 ] }, "@type": "Location", "altLabel": "DC", "prefLabel": "Washington, D.C." } |
| subOrganizationOf |
{ "name": "U.S. Government", "@type": "org:Organization" } |
| temporal |
[ { "@type": "PeriodOfTime", "endDate": "2026-09-30", "startDate": "2024-07-02" } ] |
| title | OCR Form 102(s) |
