Commodity Futures Trading Commission (CFTC): regulatory returns

What this page covers

This library covers nine CFTC returns: swap data recordkeeping and reporting (Part 45) and its companion real-time public reporting (Part 43); large trader position reports (Part 17); ownership and control reporting (Forms 102A/102B/102S/40/40S/71); Form CPO-PQR and Form CTA-PR for commodity pool operators and trading advisors; the futures commission merchant financial report and segregation statements (Form 1-FR-FCM); swap dealer and major swap participant financial reporting under Part 23; and the derivatives clearing organization financial resources and annual report under Part 39. It leaves out statistical cash-position reports that sit alongside the large trader programme (Forms 101, 204 and 304, listed alongside Forms 40 and 102 in the Commission's own regulation 15.02 table of reporting forms), DCM, SEF and DCO rulebook self-certifications (which are not firm-filed data returns in the sense used elsewhere in this library), registration filings, and the chief compliance officer annual report (which Commission regulation 3.3 requires of futures commission merchants, swap dealers and major swap participants, not of DCMs, DCOs or SEFs). The Commission's own list-of-forms pages under www.cftc.gov/IndustryOversight and www.cftc.gov/Forms answered automated requests with a Cloudflare challenge page in this session, so this entry is built from the Federal Register adopting releases for each return, the Commission's implementation guidebooks and technical specifications, and the market-report pages that could be read. Source

How firms file

• CFTC Portal

  The Commission's web-based filing portal, used for Form 40 and 40S statement-of-trader submissions and for entering ownership and control (Form 102A/102B/102S/71) data directly online as an alternative to the secure FTP, XML route. Source

• WinJammer

  A Commission-approved electronic filing system, jointly maintained by the National Futures Association and CME Group, through which futures commission merchants, swap dealers and major swap participants file their periodic financial reports (including Form 1-FR-FCM and the Part 23 Appendix B and C schedules) with the Commission and NFA at the same time. Source

• NFA EasyFile (Form PQR and Form PR)

  The National Futures Association's electronic filing system for its Form PQR and Form PR, which the Commission's regulations let a reporting commodity pool operator or commodity trading advisor file instead of filing Form CPO-PQR or Form CTA-PR directly with the Commission. Source

Data the CFTC publishes from the returns

• Commitments of Traders (COT) reports

  Added up across firms · Static per-week report files, a compressed annual historical file, and a queryable public reporting environment

  Weekly breakdown of open interest by trader category for futures and options markets with 20 or more large traders, built from the Part 17 large trader position data and the business-purpose classification traders give on Form 40; released each Friday afternoon for positions as of the preceding Tuesday. Source

  From: Part 17, OCR (Forms 102A, 102B, 102S, 40, 40S, 71)

  Reuse: Not stated separately from the Commission's general public-domain licence.

• Financial Data for FCMs

  Firm by firm · PDF and Excel

  Monthly selected financial data (adjusted net capital, net capital requirement, excess capital, and segregation and secured-amount figures) for every futures commission merchant and retail foreign exchange dealer, drawn from their Form 1-FR-FCM filings. Source

  From: Form 1-FR-FCM

  Reuse: Not stated separately from the Commission's general public-domain licence.

Reuse terms for the CFTC's documents

CFTC Web Policy, Copyright, checked 13 November 2026. In the CFTC's words:

Government information at the CFTC website is in the public domain. Public domain information may be freely distributed and copied, but it is requested that in any subsequent use the CFTC be given appropriate acknowledgement.

Can others share copies?

Allowed.

Conditions

Appropriate acknowledgement of the CFTC is requested on any subsequent use, as a request rather than a stated requirement. Documents, illustrations or other items on the site contributed or licensed by private individuals or organisations may carry their own copyright and are not covered by this public domain statement.

What the library does

Links each document on the regulator's own site, with its size and SHA-256 fingerprint so a change can be spotted. Documents are never hosted on line4.ai.

What could not be verified

Said plainly, so nobody relies on a fact the sources do not give.

• The Commission's own list-of-returns pages (www.cftc.gov/IndustryOversight/..., www.cftc.gov/Forms/OCR, www.cftc.gov/Forms/sdrforms.html, www.cftc.gov/IndustryOversight/MarketSurveillance/LargeTraderReportingProgram/index.htm, www.cftc.gov/IndustryOversight/MarketSurveillance/CFTCMarketSurveillanceProgram/index.htm, www.cftc.gov/IndustryOversight/DataRepositories/index.htm, www.cftc.gov/IndustryOversight/TradingOrganizations/DCMs/dcmhowto.html, the CFTC homepage, www.cftc.gov/MarketReports/index.htm and www.cftc.gov/MarketReports/SwapsReports/index.htm, and one press release at www.cftc.gov/PressRoom/PressReleases/7357-16) all answered automated requests with a Cloudflare challenge page in this session and were not read; this entry is built instead from Federal Register adopting releases, implementation guidebooks and technical specifications.
• www.ecfr.gov answered a request for a CFR section (title 17) with a CAPTCHA page and was not read; legal_basis links use the U.S. Code on govinfo.gov and the Federal Register adopting releases instead of eCFR section pages.
• Because the Commission's own data-repository list page was blocked, the current roster of registered swap data repositories could not be confirmed, so submission_systems describes SDRs generically in the Part 45 and Part 43 returns' purpose and who_files text rather than naming specific registered entities.
• The Weekly Swaps Report's own page (www.cftc.gov/MarketReports/SwapsReports/index.htm) was blocked, so its exact content and update frequency could not be confirmed beyond its being listed as a published report on a reachable navigation page.
• Exact validation-rule counts for the Part 43 dissemination flags, the Part 17 LTPOS checks, the Form 102 series checks, and whether any machine-checkable ruleset exists for Form CPO-PQR, Form CTA-PR, Form 1-FR-FCM, the Part 23 Appendix B/C schedules, or the Part 39 financial resources and annual reports, were not tallied to a precise number from the lengthy published documents read; each return records what was actually found rather than an estimate.
• A 2018 CFTC proposal (not read beyond confirming it exists) would have expanded relief from the Form CTA-PR filing requirement for certain commodity trading advisors; whether it was finalised was not confirmed in this session, so the CTA-PR return describes the regime as adopted in 2012 rather than any later exemption.
• No SEF or DCM financial or operational return as clearly bounded and well sourced as the DCO's quarterly financial-resources and annual-report regime (regulations 39.11(f) and 39.19(c)) was found. Commission regulation 3.3's chief compliance officer annual report applies to futures commission merchants, swap dealers and major swap participants, not to DCMs, DCOs or SEFs (per the 2016 final rule amending its filing deadline); and a DCM's annual trading-volume filing under regulation 38.1051(n) is narrowly about system-safeguards testing scope rather than a financial or operational return comparable to the others in this library. Neither is included as its own return here.
• No published Commission dataset built from the Part 23 swap dealer and major swap participant financial filings was found on the pages read, unlike the Form 1-FR-FCM data for futures commission merchants.
• No specific file format for the Part 39 quarterly financial resources report or the annual audited financial statements was found on the pages read; only the related daily FIXML position/margin reporting under the same Part is documented in detail on the pages that could be read.

Sources

• Swap Data Recordkeeping and Reporting Requirements (Part 45 final rule, 2011)
• Swap Data Recordkeeping and Reporting Requirements: 2020 amendments (Part 45)
• Real-Time Public Reporting Requirements: 2020 amendments (Part 43)
• Swap Data Repositories: data accuracy and governance amendments (Part 49, 2020)
• Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (final rule, 2013)
• OCR Technical Guidance Document (version 5.1)
• Form 102 Validation Rules (version 2.0)
• CFTC Form 40
• Guidebook for Part 17.00
• Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations (final rule adopting Form CPO-PQR and Form CTA-PR, 2012)
• Amendments to Form CPO-PQR (final rule, 2020)
• Form 1-FR-FCM Instructions
• CFTC, Financial Data for FCMs
• Capital Requirements of Swap Dealers and Major Swap Participants (final rule, 2020)
• Capital and Financial Reporting Requirements for Swap Dealers and Major Swap Participants: 2024 amendments
• Fact Sheet and Q&A: Final Rule Amending the Capital and Financial Reporting Requirements of Swap Dealers and Major Swap Participants
• Derivatives Clearing Organizations and International Standards: 2020 amendments
• Reporting and Information Requirements for Derivatives Clearing Organizations (final rule, 2023)
• CFTC Technical Specification: Parts 43 and 45 (version 3.3)
• CFTC Parts 43 and 45 Guidebook for Swap Data Reporting and Public Dissemination
• CFTC, Commitments of Traders
• CFTC Portal
• 7 U.S.C. 2, Jurisdiction of Commission
• 7 U.S.C. 6n, Registration of commodity trading advisors and commodity pool operators
• 7 U.S.C. 6f, Registration and financial requirements of futures commission merchants
• 7 U.S.C. 6s, Registration and regulation of swap dealers and major swap participants
• 7 U.S.C. 7a-1, Derivatives clearing organizations
• 7 U.S.C. 12, Public disclosure
• 7 U.S.C. 12a, Registration of commodity dealers and associated persons
• 7 U.S.C. 24a, Swap data repositories

Knowing exactly what is collected, in what format and under which rules is the first step to real-time supervision. See every regulator in the regulatory returns library.