Commodity Futures Trading Commission

CFTC

Federal Forms

Forms
OMB NumberTitle
3038-0117 Exemption from Derivatives Clearing Organization Registration
3038-0116 Response to Notification of Termination of Exemptive Relief Issued Pursuant to Regulation 30.10
3038-0115 Reparations Complaint, CFTC Form 30
3038-0114 CFTC SmartCheck Annual Campaign Impact Tracking Survey
3038-0113 Exemptions from Specualtive Limits
3038-0112 Regulation Automated Trading
3038-0111 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants; Comparability determinations with margin requirements
3038-0110 Position Limits for Derivatives
3038-0109 Exclusion of Utility Operations-Related Swaps with Utility Special Entities from De Minimis Threshold for Swaps with Special Entities
3038-0108 Quantitative Messaging Research
3038-0107 Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery
3038-0106 Form TO, Annual Notice Filing for Counterparties to Unreported Trade Option
3038-0105 Financial Education Content Needs Survey
3038-0104 Clearing Exemption for Swaps Between Certain Affiliated Entities
3038-0103 Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports)
3038-0102 Clearing Exemption for Certain Swaps Entered into by Cooperatives
3038-0101 Registration of Foreign Boards of Trade
3038-0100 Designated contract markets, registered entities, reporting and record keeping requirements, swap execution facilities, swaps
3038-0099 Process for a Swap Execution Facility or Designated Contract Market to make a Swap available to trade
3038-0098 Exemptive Order Regarding Compliance with Certain Swap Regulations
3038-0097 Process for Review of Swaps for Mandatory Clearing
3038-0096 Swap Data Recordkeeping and Reporting Requirements
3038-0095 Large Trader Reporting for Physical Commodity Swaps
3038-0094 Clearing Member Risk Management
3038-0093 Part 40, Provisions Common to Registered Entities
3038-0092 Customer Clearing Documentation and Timing of Acceptance for Clearing
3038-0091 Disclosure and Retention of Certain Information Relating to Cleared Swaps Customer Collateral
3038-0090 Adaptation of Regulations to Incorporate Swaps-Exclusion of Utility Operations-Related Swaps with Utility Special Entities from De Minimis Threshold
3038-0089 Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
3038-0088 Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
3038-0087 Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Participants.
3038-0086 Swap Data Access Provisions of Part 49 and Certain Other Matters
3038-0085 Rule 50.50 End-User Notification of Non-Cleared Swap
3038-0084 Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants
3038-0083 Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
3038-0082 Implementing the Whistleblower Provision of Section 23 of the Commodity Exchange Act
3038-0081 Derivatives Clearing Organizations, General Regulations and International Standards
3038-0080 Annual Report for Chief Compliance Officer of Registrants
3038-0079 Swap Dealer and Major Swap Participant Conflicts of Interest and Business Conduct Standards with Counterparties
3038-0078 Conflict of Interest Policies and Procedures by Future Commission Merchants and introducing Brokers
3038-0077 Position Limits for Futures and Swaps
3038-0076 Requirements for Derivatives Clearing Organizations
3038-0075 Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy
3038-0074 Core Principles and Other Requirements for Swap Execution Facilities
3038-0073 Part 37, 38, 39, and 40 - Information Related to Goverance Arrangements
3038-0072 Registration of Swap Dealers and Major Swap Participants
3038-0071 Interim Final Rule for Reporting Pre-enactment Swap Transaction; Proposed Collection, Comment Request: Reporting of Pre-enactment Swap Transaction
3038-0070 Real-Time Public Reporting and Block Trade
3038-0069 Information Management Requirements for Derivatives Clearing Organization
3038-0068 Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants
3038-0067 Part 162 - Protection of Consumer Information under the Fair Credit Reporting Act
3038-0066 Financial Resource Requirements for Derivatives Clearing Organizations
3038-0065 Regulation 16.03 - Ownership and control report
3038-0064 Rules, regulations and forms for domestic and foreign futures and options relating to registration with the Commission
3038-0063 Regulation 1.45 and Parts 20 and 151 -- Position Limit Framework for Referenced Energy Contracts
3038-0062 Off-Exchange Foreign Currency Transactions
3038-0061 Regulation 16.02 - Daily Trade and Supporting Data Reports
3038-0060 Regulation 36.3 - Exempt Commercial Market Submission Requirements
3038-0059 Part 41 - Security Futures Products
3038-0058 Part 41 Relating to Security Futures Products
3038-0057 Part 41 Relating to Security Futures Products
3038-0056 Privacy of Consumer Financial Information
3038-0055 Privacy of Consumer Financial Information
3038-0054 Part 36 Establishing Notification Procedures for Entities Operating as Exempt Markets
3038-0053 Part 37 Establishing Procedures for Entities to be Recognized as Derivatives Transaction Facilities
3038-0052 Core Principles & Other Requirements for DCMs
3038-0051 Part 39 Derivatives Clearing Organizations
3038-0050 Public Reporting by Operators of Certain Large Commodity Pools
3038-0049 Procedural Requirements for Requests for Interpretative, No- Action and Exemptive Letters
3038-0048 Off-Exchange Agricultural Trade Options
3038-0047 Contract Market Transactions -- Section 4(c)
3038-0046 RISK ASSESSMENT FOR HOLDING COMPANY SYSTEMS
3038-0043 Rules Relating to Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration & Member Responsibility Actions
3038-0041 REGULATION OF HYBRID INSTRUMENTS
3038-0039 OFF-EXCHANGE SURVEY
3038-0036 LEVERAGE SURVEY
3038-0035 Rules Relating to the Offer and Sale of Foreign Futures and Foreign Options
3038-0034 ONE-TIME SURVEY OF FUTURES AND OPTIONS MARKETS
3038-0033 Notification of Pending Legal Proceedings
3038-0032 STUDY OF TRADING ON MATERIAL, NON-PUBLIC INFORMATION
3038-0031 Procurement Contracts
3038-0029 RULES FOR CERTAIN LEVERAGE TRANSACTIONS
3038-0028 LARGE HEDGER STUDY
3038-0026 Gross Collection of Exchange-Set Margins for Omnibus Accounts
3038-0025 Practice by Former Members and Employees of the Commission Pursuant to 17 C.F.R. 140.735.6
3038-0024 Regulations and Forms Pertaining to Financial Integrity of the Market Place; Margin Requirements for SDs/MSPs
3038-0023 Registration under the Commodity Exchange Act
3038-0022 Rules Pertaining to Contract Markets and Their Members
3038-0021 Regulations Governing Bankruptcies of Commodity Brokers
3038-0019 Stocks of Grain in Licensed Warehouses
3038-0018 Information Concerning Warehouses
3038-0017 Market Surveys
3038-0016 Compliance with Requirements for Designation as a Contract Market
3038-0015 Copies of Crop and Market Information Reports
3038-0013 Position Limits
3038-0012 Futures Volume, Open Interest, Price, Deliveries, and Exchanges of Futures
3038-0010 MANAGED ACCOUNT QUESTIONNAIRE
3038-0009 Large Trader Reports
3038-0008 WITHDRAWAL FROM REGISTRATION
3038-0007 Regulation of Domestic Exchange-Traded Options
3038-0005 Rules Relating to the Operations and Activities of Commodity Pool Operators and Commodity trading Advisors and to Monthly Reporting by Futures Commission Merchants
3038-0003 REGULATIONS PERMITTING THE GRANT, OFFER AND SALE OF DEALER OPTIONS
3038-0002 QUESTIONNAIRE ON USE OF LETTERS OF CREDIT AND SIZE OF BUSINESS CONDUCTED ON FOREIGN MARKETS
3038-0001 FUTURES COMMISSION MERCHANT REPORT ON DEALER OPTIONS

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