OCR Form 40(s)
As part of its large trader reporting program, the CFTC routinely collects certain trader-identifying information on CFTC Form 40 (Statement of Reporting Trader) from traders that hold or control a reportable futures, options or swaps position, in accordance with reporting thresholds in Parts 15 and 20 of the CFTC’s regulations.
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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 | As part of its large trader reporting program, the CFTC routinely collects certain trader-identifying information on CFTC Form 40 (Statement of Reporting Trader) from traders that hold or control a reportable futures, options or swaps position, in accordance with reporting thresholds in Parts 15 and 20 of the CFTC’s regulations. |
| 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-07 |
| keyword |
[ "Form 40, OCR" ] |
| 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 40(s) |
