June 30, 2014 Page 1 of 273

This Technical Guidance Document (the “Technical Document”) provides technical 

specifications for transmitting Forms 102A, 102B, 102S, 40 and 71 via FTP XML 

submissions. This Technical Document is for informational use only, and is not a legal 

document. It is intended as a supplement to the OCR Final Rule (as defined below), 

which rule contains the regulatory requirements applicable to parties submitting the 

forms described above. When reviewing this Technical Document, reporting parties 

should review and consult the OCR Final Rule, including the requirements of the 

reporting forms attached as an appendix thereto. This Technical Document was drafted 

consistent with the OCR Final Rule, and all relevant communications from Commission 

staff are also intended to be consistent with the OCR Final Rule. In the event of any 

conflict between the requirements of the OCR Final Rule (including the questions and 

instructions on the reporting forms attached thereto) and either (a) this Technical 

Technical Guidance Document for 17 

CFR Parts 15, 17, 18, and 20 Ownership 

and Control Reports, Forms 102/102S, 

40/40S, and 71

Ownership and Control Reports

Forms 102A/102B/102S, 40/40S, and 71

Technical Guidance Document

June 30, 2014

Version 4

CFTC

Commodity Futures Trading 

Commission
June 30, 2014 Page 2 of 273

Document or (b) any verbal communications by Commission staff regarding this 

Technical Document or the OCR Final Rule, the OCR Final Rule controls.
June 30, 2014 Page 3 of 273

Table of Contents

Change Log ................................................................................................................... 4

Introduction ................................................................................................................... 6

OCR Final Rule .............................................................................................................. 6

Technical Requirements............................................................................................... 6

OCR Submission Procedure(s)...........................................................................................................6

Name the File(s) for XML submission ............................................................................................6

Assemble and Compress the File(s) ..............................................................................................7

Connect to CFTC with Secure FTP................................................................................................8

Transmit the File(s).........................................................................................................................8

Data Dictionary for OCR Batch Header..............................................................................................9

Data Dictionary for Form 102 Cover Sheet ......................................................................................10

Data Dictionary for Form 102A – Identifying and reporting a special account............................18

Data Dictionary for Form 102B – Identifying and reporting a volume threshold account ..........89

Data Dictionary for Form 102S – Identifying and reporting a consolidated account................130

Data Dictionary for Form 71 – Identification of omnibus accounts and sub-accounts ............164

Data Dictionary for Form 40 – Statement of reporting trader ......................................................197

Appendix A: SFTP Account Registration............................................................... 259

Appendix B: Supplemental Lists ............................................................................ 265

Supplemental List I: List of Business Sectors and Subsectors ..................................................265

Supplemental List II: List of Commodity Group and Individual Commodities ..........................269

Supplemental List III: List of Business Purposes of Commodity Derivatives Trading .............271
June 30, 2014 Page 4 of 273

Change Log

Version Date Change

2 2/20/2014 ORGTYPE variable removed from file name, and replaced with “OCR” 

for all file names, to simplify file naming process. See “Name the File(s) 

for XML submission”

2 2/20/2014 Additional Secure FTP instructions added. See “Connect to CFTC with 

Secure FTP”

2 2/20/2014 Valid values provided for the reporting market required in Form 102A, 

question 9. See row 82 in Form 102A schema.

2 2/20/2014 Erroneous line removed in Appendix A: SFTP Account Registration.

3 4/29/2014 Modified file naming convention to remove static “OCR” value. See 

“Name the File(s) for XML submission”

3 4/29/2014 Modified field length for Identifier field in file name. See “Name the 

File(s) for XML submission” 

3 4/29/2014 Consolidated cftcBatch attributes and moved to new cftcHeader element. 

See rows 1-4 in “Data Dictionary for OCR Batch Header”

3 4/29/2014 Added formCount element to cftcHeader. See row 5 in “Data Dictionary 

for OCR Batch Header”

3 4/29/2014 Modified formNumber element to be a required element. See row 1 in 

“Data Dictionary for Form 102 Cover Sheet”

3 4/29/2014 Added entityType attribute to cftcForm102 element. See row 5 in “Data 

Dictionary for Form 102 Cover Sheet”

3 4/29/2014 Added ‘Ownership of a reportable position’ as a valid value for 

originReason element. See rows 2 and 5 in Form 102A schema

3 4/29/2014 Fixed erroneous XML reference in row 14 of Form 102A schema

3 4/29/2014 Moved marketIdentifier attribute to relatedAcctInfo element, to permit 

reporting of multiple reporting markets in connection with a single 

trading account. See row 82 in Form 102A schema and row 5 in 102B 

schema.

3 4/29/2014 Fixed erroneous references in question for reporting firms that are foreign 

brokers. See row 154 in Form 102A schema 

3 4/29/2014 Added signature elements for each 102 form submission. See, e.g., rows 

170-177 in Form 102A schema

3 4/29/2014 Added paired swap and swaption indicators for 102S submissions. See

rows 81-82 in Form 102S schema

3 4/29/2014 Updated signature blocks in Form 40 schema. See rows 221-228

3 4/29/2014 Removed duplicative row in Supplemental List III in Appendix B

4 7/1/2014 Added ISO 3166-2 standard as valid value for state/subdivision fields. 

See, e.g., row 10 in Form 102 Coversheet

4 7/1/2014 Added ISO 3166-1 alpha-2 standard as valid value for country fields. 

See, e.g., row 11 in Form 102 Coversheet
June 30, 2014 Page 5 of 273

4 7/1/2014 Added Middle Name and Suffix fields for Special Account Owner and 

Controller contact information. See rows 25-26 and 52-53 in Form 102A 

schema

4 7/1/2014 Moved Volume Threshold Account information fields on form 102B

from relatedAccount element to cftcForm102 element. See, e.g., row 2 in 

Form 102B schema

4 7/1/2014 Moved Volume Threshold Account Originator, Owner and Controller 

relatedEntity element under cftcForm102. See, e.g., row 9 in Form 102B 

schema

4 7/1/2014 Added relatedAcctInfo element under cftcForm102 element. See row 4 

in Form 102B schema

4 7/1/2014 Added isSpecialAccount attribute on cftcForm102 element. See row 3 in 

Form 102S schema

4 7/1/2014 Moved Consolidated Account information fields on form 102S from 

relatedAccount element to cftcForm102 element. See, e.g., row 3 in 

Form 102S schema

4 7/1/2014 Moved Consolidated Account Originator, Owner and Controller 

relatedEntity element under cftcForm102. See, e.g., row 5 in Form 102S 

schema

4 7/1/2014 Added pairedSwapOrSwaptionActivity element under cftcForm102 

element. See rows 82-84 in Form 102S schema
June 30, 2014 Page 6 of 273

Introduction

On November 18, 2013, the Commodity Futures Trading Commission (“Commission” or

“CFTC”) adopted new rules and related forms to enhance its identification of futures and swap 

market participants (the “OCR Final Rule”). These final rules leverage the Commission's current 

position and transaction reporting programs by requiring the electronic submission of trader 

identification and market participant data on amended Forms 102 and 40, and on new Form 71. 

The new and amended forms require the reporting of certain trading accounts active on reporting 

markets that are designated contract markets or swap execution facilities. Among other 

information, the forms collect ownership and control information with respect to both positionbased special accounts and trading accounts that meet specified volume-based reporting levels.

This Technical Document is intended to provide technical specifications for transmitting Forms 

102A, 102B, 102S, 40 and 71 via FTP XML submissions. At a later date, either an additional 

guidance document or an updated version of this document will be provided for registration and 

submission procedures in connection with the web-based CFTC Portal.

OCR Final Rule

When reviewing this Technical Document, reporting parties should review and consult the OCR 

Final Rule, including the requirements of the reporting forms attached as an appendix 

thereto. Reporting parties should visit this link1to view the OCR Final Rule on the Federal 

Register; visit this link2to view a pdf copy of the OCR Final Rule. 

Technical Requirements

Please forward questions regarding format, content, and transmission of OCR data submissions 

to the CFTC at OCRTechSupport@cftc.gov.

OCR Submission Procedure(s)

There are two methods for submission of OCR related data – 1. CFTC Secure FTP or 2. CFTC 

Portal Electronic Form:

3

CFTC Secure FTP

1. Create the report(s) and consolidate the report(s) into an XML-formatted file.

2. Name the file(s) using the OCR Reporting file name format.

3. Assemble and compress the files.

4. Connect to the CFTC FTP site.

5. Transmit the electronically formatted records to the Commission using Secure FTP.

Name the File(s) for XML submission

File Naming Convention – Batch Submission

 The file name for submission should be created in the following manner: 

 

1

https://www.federalregister.gov/articles/2013/11/18/2013-26789/ownership-and-control-reports-forms102102s-4040s-and-71

2

http://www.cftc.gov/ucm/groups/public/@lrfederalregister/documents/file/2013-26789a.pdf

3

See preceding Introduction for information regarding guidance on the Portal.
June 30, 2014 Page 7 of 273

OCRFORM_[FORMNUMBER]_[IDENTIFIER]_[YYYYMMDD]_[SOURCE].format

File Naming Convention - Test Files

 Data providers can test their submissions by appending the string “TEST” to the end of 

their file names. 

OCRFORM_[FORMNUMBER]_[IDENTIFIER]_[YYYYMMDD]_[SOURCE]_TEST.f

ormat

Your firm can contact our Technical Support representative at OCRTechSupport@cftc.gov to 

verify the results of test data you have submitted.

FORMNUMBER:

Form Number 

Submitted in File

FORMNUMBER in File 

Name

Form 102a, 102b, or 

102s

102

Form 71 71

Form 40 40

For each different form number submitted send a separate XML file. For example, if you are 

submitting both a Form 102 and 71, they should be separate XML files. Also note for multiple 

submissions of the same form number they can be included in a single XML file. For example, 

if you are submitting multiple Form 102s, they can be in a single XML file. 

IDENTIFIER:

This field is the 3 character identifier provided by the CFTC during the account registration 

process.

YYYYMMDD:

This field is the year (4 digits), month, and day of the report date.

SOURCE:

This field is the 1 character identifier which will be used to identify the origination of the file.

File Origination SOURCE in Filename

Secure FTP Batch Submission E

FORMAT:

Format of the File FORMAT in Filename

XML formxml

Assemble and Compress the File(s)

The files should be compressed using an industry compression tool. Possible compression 

utilities are WinZip or GZIP. WinZip is available at http://www.winzip.com, and the GZIP 

utility is freely available at http://www.gzip.org. 
June 30, 2014 Page 8 of 273

Connect to CFTC with Secure FTP 

The CFTC uses Secure FTP (SFTP) to receive files. Reporting parties that are transmitting files 

to the CFTC will need to obtain a Secure FTP client that is FIPS 140-2 compliant. Through the 

Secure FTP client, reporters can navigate to traders.cftc.gov and use their User ID and password 

to login and transmit XML submission files. 

Reporting parties’ SFTP account is already configured to require a password. If reporters want 

to bypass the password requirement, they will need to generate a Key Pair and send an email to 

FtpSupport@cftc.gov which issues reporters’ Public Key and User ID. Reporters should keep 

their Private Key secure and only use it to communicate with the CFTC. The CFTC can accept 

two types of Keys: SSH Version 2.0 RSA key pair with bit strength between 2048 - 4096 or SSH 

Version 2.0 DSA 1024 bit key pair. 

Many OCR reporting parties may already have FTP or SFTP accounts. Reporting parties with 

SFTP accounts can continue to use those accounts for OCR reporting. New reporters who do not 

already have an SFTP account, or reporters who only use non-secure FTP accounts, must request 

a Secure FTP account from the CFTC. See Appendix A to this Technical Document for FTP 

registration steps.

Transmit the File(s)

Transfer the compressed file(s) using normal FTP commands. 

Upon receipt of the file, software at the CFTC will ingest the file through our firewall and begin 

processing the data.
Page 9 of 273

Data Dictionary for OCR Batch Header

Data 

Dictionary 

for OCR 

Batch

HeaderData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

1. Message 

Transmit 

Datetime

Yes Date of OCR 

Batch Submission

The format is 

YYYY-MMDDThh:mm:ss[+|-

]hh:mm, where 

YYYY is the year, 

MM is the month, 

DD is the day of 

the month, hh is the 

hour of the day, 

mm is the minute 

of the hour and [+|-

]hh:mm is the time 

zone offset.

cftcBatch/cftcHeader@sentDate

2. Submission 

Contact 

Email

Yes Contact email for 

Batch Submission

cftcBatch/cftcHeader@email

3. Submission 

Sent By 

Identifier

Yes This field is the 3 

character 

identifier 

provided by the 

CFTC during the 

account 

registration 

process for firm 

cftcBatch/cftcHeader@sentBy
June 30, 2014 Page 10 of 273

Data 

Dictionary 

for OCR 

Batch

HeaderData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

submitting batch 

file

4. On Behalf of 

identifier

No CFTC-issued 3 

character 

reporting firm 

identifier for firm 

reported in 

submission

cftcBatch/cftcHeader@onBehalfOf

5. Form Count Yes Identifies number 

of form 

submissions 

included in batch

cftcBatch/cftcHeader@formCount

Data Dictionary for Form 102 Cover Sheet

Data 

Dictionary 

for Form

102 Cover 

SheetData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

1. Form 

Number

Yes 102 cftcBatch/cftcForm102@formNumber
June 30, 2014 Page 11 of 273

Data 

Dictionary 

for Form

102 Cover 

SheetData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

2. Reportable 

Account 

Type 

Indicator

Yes Indicates the type 

of account for 

which the 

reporting entity is 

reporting.

SA = Special 

Account (102A)

VT = Volume 

Threshold Account 

(102B)

CA = Consolidated 

Account (102S)

cftcBatch/cftcForm102@accountCategory

3. Follow-On 

Information 

Will be 

Submitted 

Later

Yes Indicates certain 

“Follow-On 

Information” will 

be submitted by a 

later date 

specified in § 

17.024

Y = Yes

N = No

cftcBatch/cftcForm102@FollowOnInformation

ToCome

4. Optional 

Fields or 

Supplemental 

Fields 

Reported to 

LEI Provider

Yes Indicates that one 

or more

“Optional Fields” 

or “Supplemental 

Fields” not 

included in this 

submission were 

reported to the 

CICI Utility (or 

Y = Yes

N = No

cftcBatch/cftcForm102@OptionalOrSuppFields

SeparatelyReported

 

4

For additional information on “Follow-On Information”, “Optional Fields” and “Supplemental Fields”, see the footnotes to the reporting forms in 

Appendix A of the OCR Final Rule. 
June 30, 2014 Page 12 of 273

Data 

Dictionary 

for Form

102 Cover 

SheetData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

other CFTCapproved LEI 

provider) and are 

associated with 

the LEI provided 

in this submission

5. Reporting 

Firm Entity 

Type

Conditional. 

Required if 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Entity type of the 

reporting entity

LE = Legal Entity cftcBatch/cftcForm102@entityType

6. Name of 

Reporting 

Firm

Conditional.

Required if 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Legal name of the 

reporting entity

cftcBatch/cftcForm102@legalEntityName

7. Reporting 

Firm Street 

Address

Conditional. 

Required if 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Street address of 

the reporting 

entity

cftcBatch/cftcForm102@street

8. Reporting 

Firm Suite 

No Suite of the 

reporting entity

cftcBatch/cftcForm102@suite

9. Reporting 

Firm City

Conditional. 

Required if

OptionalOrSuppF

City of the 

reporting entity

cftcBatch/cftcForm102@city
June 30, 2014 Page 13 of 273

Data 

Dictionary 

for Form

102 Cover 

SheetData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ieldsSeparatelyRe

ported =‘N’

10. Reporting 

Firm State

Conditional. 

Required if

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

State/Subdivision

of the reporting 

entity

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102@state

11. Reporting 

Firm Country

Conditional. 

Required if

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Country of the 

reporting entity

ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm102@country

12. Reporting 

Firm 

Zip/Postal 

Code

Conditional. 

Required if

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Zip code or postal 

code of the 

reporting entity

cftcBatch/cftcForm102@postalCode

13. Reporting 

Firm Contact 

Natural 

Person Last 

Name

Conditional. 

Required if

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Surname of the 

natural person 

who is a contact 

at the reporting 

entity

cftcBatch/cftcForm102/contact@lastName

14. Reporting 

Firm Contact 

Natural 

Person First 

Conditional. 

Required if

OptionalOrSuppF

ieldsSeparatelyRe

Given or first in 

order name of the 

natural person 

who is a contact 

cftcBatch/cftcForm102/contact@firstName
June 30, 2014 Page 14 of 273

Data 

Dictionary 

for Form

102 Cover 

SheetData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Name ported =‘N’ at the reporting 

entity

15. Reporting 

Firm Contact 

Middle 

Name

No Middle name of 

the natural person 

who is a contact 

at the reporting 

entity

cftcBatch/cftcForm102/contact@middleName

16. Reporting

Firm Contact 

Suffix

No Suffix of the 

natural person 

who is a contact 

at the reporting 

entity

cftcBatch/cftcForm102/contact@nameSuffix

17. Reporting 

Firm Contact 

Job Title

Conditional. 

Required if

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Job title of the 

contact at the 

reporting entity

cftcBatch/cftcForm102/contact@titleOrPosition

18. Reporting 

Firm Contact 

Phone 

Number

Conditional. 

Required if

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Telephone 

number of the 

contact at the 

reporting entity

cftcBatch/cftcForm102/contact@telephone

19. Reporting 

Firm Contact 

Email 

Address

Conditional. 

Required if

OptionalOrSuppF

ieldsSeparatelyRe

Email address of 

the contact at the 

reporting entity

cftcBatch/cftcForm102/contact@email
June 30, 2014 Page 15 of 273

Data 

Dictionary 

for Form

102 Cover 

SheetData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ported =‘N’

20. Reporting 

Firm Website

Conditional. 

Required if 

information 

available AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

URL of the 

reporting entity’s 

website

cftcBatch/cftcForm102@website

21. Reporting 

Firm NFA ID

Conditional. 

Required if 

information 

available AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

The identification 

number given to 

the reporting 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102@NFAIdentifier

22. Reporting 

Firm Legal 

Entity 

Identifier

Conditional. 

Required if

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

reporting firm by 

the LEI issuer

cftcBatch/cftcForm102@legalEntityIdentifier
June 30, 2014 Page 16 of 273

Data 

Dictionary 

for Form

102 Cover 

SheetData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

23. Reporting 

Firm Type –

futures 

commission 

merchant

Conditional. 

Required if

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Indicates the type 

of reporting 

entity5

Y = Yes

N = No 

cftcBatch/cftcForm102@isFCM 

24. Reporting 

Firm Type –

clearing 

member

Conditional. 

Required if

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Indicates the type 

of reporting 

entity

Y = Yes

N = No

cftcBatch/cftcForm102@isCM

25. Reporting 

Firm Type –

Foreign 

Broker

Conditional. 

Required if

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Indicates the type 

of reporting 

entity

Y = Yes

N = No 

cftcBatch/cftcForm102@isFB

26. Reporting 

Firm Type –

Swap Dealer

Conditional. 

Required if

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Indicates the type 

of reporting 

entity

Y = Yes

N = No 

cftcBatch/cftcForm102@isSwapDealer

 

5

If a reporting party is submitting a 102A and reporting a special account that is active on multiple markets, the party should check multiple firm 

types in rows 23-26, if it acts in different capacities on these markets (for example, if the reporting party acts as an FCM on one of the markets, 

and acts as a clearing member on another of the markets).
June 30, 2014 Page 17 of 273

Data 

Dictionary 

for Form

102 Cover 

SheetData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

27. Reporting 

Firm Type –

Other

Conditional. 

Required if

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Indicates the type 

of reporting 

entity

Y = Yes

N = No 

cftcBatch/cftcForm102@isOther

28. Other 

Reporting 

Firm Type

Conditional.

Required if 

isOther = ‘Y’

Entity type of the 

reporting entity if 

isOther Indicator 

was selected

cftcBatch/cftcForm102@otherDescription

29. Reporting 

Firm ID

Conditional. 

Required if 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

The alphanumeric identifier 

assigned by the 

Commission to 

the reporting 

entity

cftcBatch/cftcForm102@reportingIdentifier
June 30, 2014 Page 18 of 273

Data Dictionary for Form 102A – Identifying and reporting a special account6

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

1. New/Modifie

d Indicator 

Question 1 Yes Indicates whether 

the special 

account (102A) 

is:

 Special 

account 

being 

reported 

for the 

first time

 Resubmitted 

or 

modified 

Informati

on for a 

previously 

reported 

special 

N = New

M = Modified

cftcBatch/cftcForm102@inf

ormationType

 

6 When reviewing the data elements in this Technical Document, reporting parties should also review and consult the OCR Final Rule, including 

the requirements of the reporting forms attached as an appendix thereto. The reporting forms are the basis for these data elements. Reporting 

parties should visit this link to view the OCR Final Rule on the Federal Register: https://www.federalregister.gov/articles/2013/11/18/2013-

26789/ownership-and-control-reports-forms-102102s-4040s-and-71

Visit this link to view a pdf copy of the OCR Final Rule: http://www.cftc.gov/ucm/groups/public/@lrfederalregister/documents/file/2013-

26789a.pdf
June 30, 2014 Page 19 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

account

2. Special 

Account 

Origination

Question 2 Yes Indicates for 

which of the 

following reasons 

the account is 

being reported

OO = Ownership 

of a reportable 

position7

CC = Control of a 

reportable position

OC = Ownership 

and control of a 

reportable position

OM = Omnibus 

account with a 

reportable position

cftcBatch/cftcForm102@ori

ginReason

3. Special 

Account 

Number

Question 3 Yes Numeric 

identifier used by 

the reporting 

entity to uniquely 

identify a special 

account

cftcBatch/cftcForm102@acc

ountNumber

4. Special 

Account 

Question 3 Yes The name of the 

special account 

cftcBatch/cftcForm102@acc

ountName

 

7

‘Ownership of a reportable position’ has been added to make the schema conform to the choices in question 2 of Form 102A, which is included 

as an appendix to the OCR Final Rule. As noted in question 2 of Form 102A, however, reporting parties are not required to submit Form 102A 

based solely on ownership of a reportable position at this time.
June 30, 2014 Page 20 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Name assigned by the 

reporting firm

5. House or 

Customer 

Indicator

Question 4 Conditional. 

Required if 

originReason=‘O

O’

If the reported 

special account is 

being reported 

based on 

ownership of a 

reportable 

position, 

indicates whether 

the special 

account is a 

house or 

customer account 

of the reporting 

firm8

H = House

C = Customer

cftcBatch/cftcForm102@acc

ountClass

6. Omnibus 

Account

Question 5 Conditional, if 

originReason=‘O

M’ then ‘Y’ else 

‘N’

Indicates if the 

reported special 

account is an 

omnibus account

Y = Yes

N = No

cftcBatch/cftcForm102@is

Omnibus

7. Omnibus 

Account 

Information

Question 5 Conditional. 

Required if

originReason=‘O

M’

If the reported 

special account is 

an omnibus 

account, indicate 

whether the 

H = House

C = Customer

cftcBatch/cftcForm102@acc

ountClass

 

8

See preceding footnote.
June 30, 2014 Page 21 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

account is a 

house or 

customer 

omnibus account

SPECIAL ACCOUNT OWNER(S) CONTACT INFORMATION

8. Special 

Account 

Owner 

Indicator

Question 6 Conditional, if 

originReason=‘O

C’

then isOwner = 

‘Y’

Indicates 

reporting special 

account owner

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edEntity@isOwner

9. Special 

Account 

Owner Type 

Indicator

Question 6 Conditional. 

Required if

originReason=‘O

C’

Indicates whether 

the special 

account owner is 

a legal entity or 

natural person

LE = Legal Entity

NP = Natural 

Person

cftcBatch/cftcForm102/relat

edEntity@entityType

10. Special 

Account 

Owner 

Optional 

Fields or 

Supplemental 

Fields 

Reported to 

LEI Provider

Question 6 Conditional. 

Required if

originReason=‘O

C’

Indicates that one 

or more 

“Optional Fields” 

or “Supplemental 

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

Y = Yes

N = No

cftcBatch/cftcForm102/

relatedEntity@

OptionalOrSuppFieldsSepar

atelyReported
June 30, 2014 Page 22 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

provider) and are 

associated with 

the LEI provided 

in this submission

IF SPECIAL ACCOUNT OWNER IS A LEGAL ENTITY

11. Special 

Account 

Owner Legal 

Entity Name

Question 6 Conditional. 

Required if

originReason=‘O

C’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

AND 

entityType=‘LE’

Legal or 

registered name 

of the reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@legalEntityName

IF SPECIAL ACCOUNT OWNER IS A NATURAL PERSON

12. Special 

Account 

Owner 

Natural 

Person Last 

Name

Question 6 Conditional. 

Required if

originReason=‘O

C’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

And 

entityType=‘NP’

Surname of the 

natural person 

reportable 

account owner 

cftcBatch/cftcForm102/relat

edEntity@lastName
June 30, 2014 Page 23 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

13. Special 

Account 

Owner 

Natural 

Person First 

Name

Question 6 Conditional. 

Required if

originReason=‘O

C’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

AND 

entityType=‘NP’

Given or first in 

order name of the 

natural person 

reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@firstName

14. Special 

Account 

Owner 

Natural 

Person 

Middle 

Name

Question 6 Conditional. 

Required if 

information is 

available AND

originReason=‘O

C’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

AND 

entityType=‘NP’

Middle name of 

the natural person 

reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@middleName

15. Special 

Account 

Owner 

Natural 

Person Suffix

Question 6 Conditional. 

Required if 

information is 

available AND

originReason=‘O

C’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

Suffx of the 

natural person 

reportable 

account owner 

cftcBatch/cftcForm102/relat

edEntity@nameSuffix
June 30, 2014 Page 24 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ported =‘N’

AND 

entityType=‘NP’

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS 

16. Special 

Account 

Owner Street 

Address

Question 6 Conditional. 

Required if

originReason=‘O

C’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Street address of 

the reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@street

17. Special 

Account 

Owner Suite

Question 6 Conditional. 

Required if 

information 

available AND 

originReason = 

‘OC’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Suite of the 

reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@suite

18. Special 

Account 

Owner City

Question 6 Conditional. 

Required if 

originReason=‘O

C’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

City of the 

reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@city
June 30, 2014 Page 25 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ported =‘N’

19. Special 

Account 

Owner State

Question 6 Conditional. 

Required if 

originReason=‘O

C’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/relat

edEntity@state

20. Special 

Account 

Owner 

Country

Question 6 Conditional. 

Required if 

originReason=‘O

C’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm102/relat

edEntity@country

21. Special 

Account 

Owner 

Zip/Postal 

Code

Question 6 Conditional. 

Required if 

originReason=‘O

C’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Zip/Postal code 

of the reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@postalCode

22. Special 

Account 

Owner Phone 

Number

Question 6 Conditional. 

Required if 

originReason=‘O

C’ AND 

Phone Number of 

the reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@telephone
June 30, 2014 Page 26 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

23. Special 

Account 

Owner Email 

Address

Question 6 Conditional. 

Required if 

originReason=‘O

C’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Email address of 

the reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@email

IF SPECIAL ACCOUNT OWNER IS A LEGAL ENTITY

24. Special 

Account 

Owner 

Contact Last 

Name

Question 6 Conditional. 

Required if 

originReason=‘O

C’ AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Surname of the 

contact person for 

the owner

cftcBatch/cftcForm102/relat

edEntity/contact@lastName

25. Special 

Account 

Owner 

Question 6 Conditional. 

Required if 

originReason=‘O

First name of the 

contact person for 

the owner

cftcBatch/cftcForm102/relat

edEntity/contact@firstName
June 30, 2014 Page 27 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Contact First 

Name

C’ AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

26. Special 

Account 

Owner 

Contact 

Middle 

Name

Question 6 Conditional. 

Required if 

information is 

available AND

originReason=‘O

C’ AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Middle name of 

the contact 

person for the 

owner

cftcBatch/cftcForm102/relat

edEntity/contact@middleNa

me

27. Special 

Account 

Owner 

Contact 

Name Suffix

Question 6 Conditional. 

Required if 

information is 

available AND

originReason=‘O

C’ AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

Suffix of the 

contact person for 

the owner

cftcBatch/cftcForm102/relat

edEntity/contact@nameSuff

ix
June 30, 2014 Page 28 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ported =‘N’

28. Special 

Account 

Owner 

Contact Job 

Title

Question 6 Conditional. 

Required if 

originReason=‘O

C’ AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Job title of the 

contact person for 

the owner

cftcBatch/cftcForm102/relat

edEntity/contact@titleOrPo

sition

29. Contact 

Relationship 

to Special 

Account 

Owner

Question 6 Conditional. 

Required if 

originReason=‘O

C’ AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Contact 

relationship to the 

owner

cftcBatch/cftcForm102/relat

edEntity/contact@relationsh

ip

30. Special 

Account 

Owner 

Contact 

Phone 

Number

Question 6 Conditional. 

Required if 

originReason=‘O

C’ AND 

entityType=‘LE’

AND 

Phone number of 

the contact 

person for the 

owner

cftcBatch/cftcForm102/relat

edEntity/contact@telephone
June 30, 2014 Page 29 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

31. Special 

Account 

Owner 

Contact 

Email 

Address

Question 6 Conditional. 

Required if 

originReason=‘O

C’ AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Email address of 

the contact 

person for the 

owner

cftcBatch/cftcForm102/relat

edEntity/contact@email

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS 

32. Special 

Account 

Owner 

Website

Question 6 Conditional. 

Required if 

information 

available AND 

originReason=‘O

C’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

URL of the 

owner’s website

cftcBatch/cftcForm102/relat

edEntity@website

33. Special 

Account 

Owner NFA 

Question 6 Conditional. 

Required if 

information 

The identification 

number given to 

the ownership 

cftcBatch/cftcForm102/relat

edEntity@NFAIdentifier
June 30, 2014 Page 30 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ID available AND 

originReason=‘O

C’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

entity by the 

National Futures 

Association

34. Special 

Account 

Owner Legal 

Entity 

Identifier 

(LEI)

Question 6 Conditional. 

Required if 

information 

available AND 

originReason=‘O

C’AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

ownership entity 

by the LEI issuer

cftcBatch/cftcForm102/relat

edEntity@legalEntityIdentif

ier

SPECIAL ACCOUNT CONTROLLER(S) CONTACT INFORMATION9

35. Special 

Account 

Controller 

Question 7 Conditional. 

Required if 

originReason = 

Indicates 

reporting special 

account controller

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edEntity@isController

 

9 Reporting parties should provide only one value in each field for question 7 on Form 102A, which asks for the special account controller contact 

information. Reporting parties should not report multiple controllers in response to question 7, because the OCR Final Rule requires 102 reporting 

on the basis of control of a reportable position. See part 150.4 of the Commission’s regulations for rules regarding the aggregation of positions 

based on control. Parties aggregating on the basis of control should report only a single controller in response to question 7. See OCR Final Rule 

pp. 69183-4. 
June 30, 2014 Page 31 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Indicator ‘OC’ OR 

originReason = 

‘CC’

then isController 

= ‘Y’

36. Special 

Account 

Controller 

Type 

Indicator

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

Indicates whether 

the special 

account 

Controller is a 

legal entity or 

natural person

LE = Legal Entity

NP = Natural 

Person

cftcBatch/cftcForm102/relat

edEntity@entityType

37. Special 

Account 

Controller 

Optional 

Fields or 

Supplemental 

Fields 

Reported to 

LEI Provider

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

Indicates that one 

or more 

“Optional Fields” 

or “Supplemental 

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with 

the LEI provided 

in this submission

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edEntity@OptionalOrSuppF

ieldsSeparatelyReported
June 30, 2014 Page 32 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

IF SPECIAL ACCOUNT CONTROLLER IS A LEGAL ENTITY

38. Special 

Account 

Controller 

Legal Entity 

Name

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Legal or 

registered name 

of the reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@legalEntityName

IF SPECIAL ACCOUNT CONTROLLER IS A NATURAL PERSON

39. Special 

Account 

Controller 

Natural 

Person Last 

Name

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

AND 

entityType=‘NP’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

Surname of the 

natural person 

reportable 

account 

Controller (if 

natural person)

cftcBatch/cftcForm102/relat

edEntity@lastName
June 30, 2014 Page 33 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ported = ‘N’

40. Special 

Account 

Controller 

Natural 

Person First 

Name

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

AND 

entityType=‘NP’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Given or first in 

order name of the 

natural person 

reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@firstName

41. Special 

Account 

Controller 

Natural 

Person 

Middle 

Name

Question 7 Conditional. 

Required if 

information 

available AND 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

AND 

entityType=‘NP’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

Middle name of 

the natural person 

reportable 

account 

Controller 

cftcBatch/cftcForm102/relat

edEntity@middleName
June 30, 2014 Page 34 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ported = ‘N’

42. Special 

Account 

Controller 

Natural 

Person Suffix

Question 7 Conditional. 

Required if 

information 

available AND 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

AND 

entityType=‘NP’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Suffix of the 

natural person 

reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@nameSuffix

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS 

43. Special 

Account 

Controller 

Street 

Address

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

Street address of 

the reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@street
June 30, 2014 Page 35 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ported = ‘N’

44. Special 

Account 

Controller 

Suite

Question 7 Conditional. 

Required if 

information 

available AND 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Suite of the 

reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@suite

45. Special 

Account 

Controller 

City

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

City of the 

reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@city

46. Special 

Account 

Controller 

Question 7 Conditional. 

Required if 

originReason = 

ISO 3166-2 

geopolitical 

subdivision code; 

cftcBatch/cftcForm102/relat

edEntity@state
June 30, 2014 Page 36 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

State ‘OC’ OR 

originReason = 

‘CC’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

1-3 alphanumeric 

characters

47. Special 

Account 

Controller 

Country

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm102/relat

edEntity@country

48. Special 

Account 

Controller 

Zip/Postal 

Code

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Zip/Postal code 

of the reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@postalCode
June 30, 2014 Page 37 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

49. Special 

Account 

Controller 

Phone 

Number

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = 

‘CC’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Phone Number of 

the reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@telephone

50. Special 

Account 

Controller 

Email 

Address

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = 

‘CC’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Email address of 

the reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@email

IF SPECIAL ACCOUNT CONTROLLER IS A LEGAL ENTITY

51. Special 

Account 

Controller 

Contact Last 

Name

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

AND

Surname of the 

natural person 

contact for the 

Controller 

cftcBatch/cftcForm102/relat

edEntity/contact@lastName
June 30, 2014 Page 38 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

52. Special 

Account 

Controller 

Contact First 

Name

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

AND

entityType=‘ LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

First name of the 

natural person 

contact for the 

Controller

cftcBatch/cftcForm102/relat

edEntity/contact@firstName

53. Special 

Account 

Controller 

Contact 

Middle 

Name

Question 7 Conditional. 

Required if 

information is 

available AND

originReason=‘O

C’ OR 

originReason = 

‘CC’ AND 

entityType=‘LE’

Middle name of 

the contact 

person for the 

Controller

cftcBatch/cftcForm102/relat

edEntity/contact@middleNa

me
June 30, 2014 Page 39 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

54. Special 

Account 

Controller 

Contact 

Name Suffix

Question 7 Conditional. 

Required if 

information is 

available AND

originReason=‘O

C’ OR 

originReason = 

‘CC’ AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘N’

Suffix of the 

contact person for 

the Controller

cftcBatch/cftcForm102/relat

edEntity/contact@nameSuff

ix

55. Special 

Account 

Controller 

Contact Job 

Title

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

AND

entityType=‘ LE’

AND 

OptionalOrSuppF

Job title of the 

contact person for 

Controller entity

cftcBatch/cftcForm102/relat

edEntity/contact@titleOrPo

sition
June 30, 2014 Page 40 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ieldsSeparatelyRe

ported = ‘N’

56. Contact 

Relationship 

to Special 

Account 

Controller

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

AND

entityType=‘ LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Contact 

relationship to the 

controller

cftcBatch/cftcForm102/relat

edEntity/contact@relationsh

ip

57. Special 

Account 

Controller 

Contact 

Phone 

Number

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR

originReason = 

‘CC’

AND

entityType=‘ LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

Phone number of 

the contact 

person for the 

Controller entity 

cftcBatch/cftcForm102/relat

edEntity/contact@telephone
June 30, 2014 Page 41 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ported = ‘N’

58. Special 

Account 

Controller 

Contact 

Email 

Address

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

AND

entityType=‘ LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Email address of 

the contact 

person for the 

Controller entity 

cftcBatch/cftcForm102/relat

edEntity/contact@email

59. Special 

Account 

Controller 

Website

Question 7 Conditional. 

Required if 

information 

available AND 

originReason = 

‘OC’ OR 

originReason = 

‘CC’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

URL of the 

Controller’s 

website

cftcBatch/cftcForm102/relat

edEntity@website

60. Special 

Account 

Question 7 Conditional. 

Required if 

The identification 

number given to 

cftcBatch/cftcForm102/relat

edEntity@NFAIdentifier
June 30, 2014 Page 42 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Controller 

NFA ID

information 

available AND 

originReason = 

‘OC’ OR 

originReason = 

‘CC’

AND

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

the Controller 

entity by the 

National Futures 

Association

61. Special 

Account 

Controller 

Legal Entity 

Identifier 

(LEI)

Question 7 Conditional. 

Required if 

information 

available AND 

originReason = 

‘OC’ OR 

originReason = 

‘CC’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

Controller entity 

by the LEI issuer

cftcBatch/cftcForm102/relat

edEntity@legalEntityIdentif

ier

OMNIBUS ACCOUNT ORIGINATOR CONTACT INFORMATION

62. Omnibus 

Account 

Originator 

Indicator

Question 8 Conditional. 

Required if 

originReason = 

‘OM’ Then 

Indicates 

reporting special 

account 

orginiator

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edEntity@isOriginator
June 30, 2014 Page 43 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isOriginator=‘Y’

63. Omnibus 

Account 

Originator 

Optional 

Fields or 

Supplemental 

Fields 

Reported to 

LEI Provider

Question 8 Conditional. 

Required if 

originReason=‘O

M’

Indicates that one 

or more 

“Optional Fields” 

or “Supplemental 

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with 

the LEI provided 

in this submission

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edEntity@OptionalOrSuppF

ieldsSeparatelyReported

64. Omnibus 

Account 

Originator 

Entity Type

Question 8 Yes, 

entityType=‘LE’

LE = Legal Entity cftcBatch/cftcForm102/relat

edEntity@entityType

65. Omnibus 

Account 

Originator 

Name

Question 8 Conditional. 

Required if 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

Legal name of the 

reportable 

account 

Originator

cftcBatch/cftcForm102/relat

edEntity@legalEntityName
June 30, 2014 Page 44 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ported=‘N’

AND 

entityType=‘LE’

66. Omnibus 

Account 

Originator 

Street 

Address

Question 8 Conditional. 

Required if 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

Street address of 

the reportable 

account 

Originator

cftcBatch/cftcForm102/relat

edEntity@street

67. Omnibus 

Account 

Originator 

Suite

Question 8 Conditional. 

Required if 

information 

available AND 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

Suite of the 

reportable 

account 

Originator

cftcBatch/cftcForm102/relat

edEntity@suite

68. Omnibus 

Account 

Originator 

City

Question 8 Conditional. 

Required if 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

City of the 

reportable 

account 

Originator

cftcBatch/cftcForm102/relat

edEntity@city
June 30, 2014 Page 45 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

69. Omnibus 

Account 

Originator 

State

Question 8 Conditional. 

Required if 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/relat

edEntity@state

70. Omnibus 

Account 

Originator 

Country

Question 8 Conditional. 

Required if 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm102/relat

edEntity@country

71. Omnibus 

Account 

Originator 

Zip/Postal 

Code

Question 8 Conditional. 

Required if 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

Zip/Postal code 

of the reportable 

account 

Originator

cftcBatch/cftcForm102/relat

edEntity@postalCode

72. Omnibus 

Account 

Originator 

Phone 

Number

Question 8 Conditional. 

Required if 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

Phone Number of 

the reportable 

account 

Originator

cftcBatch/cftcForm102/relat

edEntity@telephone
June 30, 2014 Page 46 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

73. Omnibus 

Account 

Originator 

Contact Last 

Name

Question 8 Conditional. 

Required if 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

Surname of the 

natural person 

contact for the 

Originator 

cftcBatch/cftcForm102/relat

edEntity/contact@lastName

74. Omnibus 

Account 

Originator 

Contact First 

Name

Question 8 Conditional. 

Required if 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

First name of the 

natural person 

contact for the 

Originator

cftcBatch/cftcForm102/relat

edEntity/contact@firstName

75. Omnibus 

Account 

Originator 

Contact 

Middle 

Name

Question 8 Conditional. 

Required if 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

Middle name of 

the natural person 

contact for the 

Originator

cftcBatch/cftcForm102/relat

edEntity/contact@middleNa

me

76. Omnibus 

Account 

Originator 

Contact 

Suffix

Question 8 Conditional. 

Required if 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

Suffix of the 

natural person 

contact for the 

Originator

cftcBatch/cftcForm102/relat

edEntity/contact@nameSuff

ix
June 30, 2014 Page 47 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

77. Omnibus 

Account 

Originator 

Contact Job 

Title

Question 8 Conditional. 

Required if 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

Job title of the 

contact person at 

or related to the 

Originator entity

cftcBatch/cftcForm102/relat

edEntity/contact@titleOrPo

sition

78. Contact 

Relationship 

to Omnibus 

Account 

Originator

Question 8 Conditional. 

Required if 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

Contact 

relationship to the 

Originator entity

cftcBatch/cftcForm102/relat

edEntity/contact@relationsh

ip

79. Omnibus 

Account 

Originator 

Contact 

Phone 

Number

Question 8 Conditional. 

Required if 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

Phone number of 

the contact 

person for the 

Originator entity 

cftcBatch/cftcForm102/relat

edEntity/contact@telephone

80. Omnibus 

Account 

Originator 

Contact 

Email 

Address

Question 8 Conditional. 

Required if 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

Email address of 

the contact 

person for the 

Originator entity 

cftcBatch/cftcForm102/relat

edEntity/contact@email
June 30, 2014 Page 48 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

81. Omnibus 

Account 

Originator 

Website

Question 8 Conditional. 

Required if 

information 

available AND 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

URL of the 

Originator’s 

website

cftcBatch/cftcForm102/relat

edEntity@website

82. Special 

Account 

Originator 

NFA ID

Question 8 Conditional. 

Required if 

information 

available AND 

originReason=‘O

M’

AND

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

The identification 

number given to 

the Originator 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/relat

edEntity@NFAIdentifier

83. Omnibus 

Account 

Originator 

Legal Entity 

Identifier 

(LEI)

Question 8 Conditional. 

Required if 

information 

available AND 

originReason=‘O

M’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

Originator entity 

by the LEI issuer

cftcBatch/cftcForm102/relat

edEntity@legalEntityIdentif

ier
June 30, 2014 Page 49 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

IDENTIFICATION OF TRADING ACCOUNT(S) THAT COMPRISE THE SPECIAL ACCOUNT10

84. Special 

Account 

Trading 

Account 

Indicator

Question 9 Yes, 

isTradingAccount

=‘Y’

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edAccount@isTradingAcco

unt

85. Special 

Account 

Trading 

Account 

Number

Question 9 Conditional. 

Required if 

isTradingAccount

=‘Y’

For each special 

account reported 

by an entity 

acting as a 

clearing member, 

provide the 

trading account 

number

cftcBatch/cftcForm102/relat

edAccount@accountNumbe

r

86. Short Code Question 9 Conditional. 

Required if 

isTradingAccount

=‘Y’

For each special 

account reported 

by an entity 

acting as a 

clearing member, 

provide the 

cftcBatch/cftcForm102/relat

edAccount/relatedAcctInfo

@accountShortCode

 

10 Page 69184 of the OCR final rule contains a discussion of how to identify the trading account numbers that comprise a special account and, by 

extension, identify the reporting market at which each trading account number appears. This discussion states that, “Trading accounts that 

comprise a position-based special account include all of those trading accounts that: (1) are used to execute trades cleared by the clearing member 

submitting the 102A; (2) are owned or controlled by the entity identified as owning or controlling the special account reported on a 102A; and (3) 

execute transactions in the same commodity or commodities in which the special account has a reportable position.”
June 30, 2014 Page 50 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

related short code

87. Reporting 

Market11

Question 9 Conditional. 

Required if 

isTradingAccount

=‘Y’

Identify the 

reporting market 

at which each 

trading account 

number appears

ISO Market 

Identifier Code 

(MIC) located at: 

http://www.iso150

22.org/MIC/homep

ageMIC.htm12

cftcBatch/cftcForm102/relat

edAccount/relatedAcctInfo 

@marketIdentifier

TRADING ACCOUNT OWNERSHIP AND CONTROL INFORMATION

OMNIBUS ACCOUNT INFORMATION

88. Trading 

Account 

Omnibus 

Account 

Indicator

Question 10i Conditional. 

Required if 

isTradingAccount

=‘Y’

For each trading 

account identified 

in question 9, is 

such account an 

omnibus account

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edAccount@isOmnibus

89. House or 

Customer 

Indicator

Question 10i Conditional. 

Required if 

isTradingAccount

=‘Y’

If the reportable 

Trading Account 

is being reported 

as an Omnibus 

H = House

C = Customer

cftcBatch/cftcForm102/relat

edAccount@accountClass

 

11 See preceding footnote. 

12 See the CFTC website at http://www.cftc.gov/IndustryOversight/TradingOrganizations/index.htm for a list of trading organizations regulated by 

the CFTC. 
June 30, 2014 Page 51 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND isOmnibus 

=‘Y’

Account indicate 

whether the 

Trading Account 

Omnibus 

Account is a 

house or 

customer account 

of the reporting 

firm

90. Trading 

Account 

Omnibus 

Account 

Originator 

Indicator

Question 10i Conditional, if 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

THEN 

isOriginator = 

‘Y’

Indicates 

reportable 

Trading Account 

Omnibus 

Account 

orginiator

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edAccount/relatedEntity@is

Originator

91. Trading 

Account 

Omnibus 

Account 

Optional 

Fields or 

Supplemental 

Fields 

Reported to 

LEI Provider

Question 10i Conditional, if 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

Indicates that one 

or more 

“Optional Fields” 

or “Supplemental 

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCY = Yes

N = No

cftcBatch/cftcForm102/relat

edAccount/relatedEntity@ 

OptionalOrSuppFieldsSepar

atelyReported
June 30, 2014 Page 52 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

approved LEI 

provider) and are 

associated with 

the LEI provided 

in this submission

92. Trading 

Account 

Omnibus 

Account 

Entity Type

Question 10i Yes, entityType = 

‘LE’

LE=Legal Entity cftcBatch/cftcForm102/relat

edAccount/relatedEntity@e

ntityType

93. Trading 

Account 

Omnibus 

Account 

Originator 

Name

Question 10i Conditional. 

Required if 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Name of omnibus 

trading account 

originator 

cftcBatch/cftcForm102/relat

edAccount/relatedEntity@le

galEntityName

94. Trading 

Account 

Omnibus 

Account 

Originator 

Street 

Address

Question 10i Conditional. 

Required if 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

Street address of 

omnibus trading 

account 

Originator

cftcBatch/cftcForm102/relat

edAccount/relatedEntity@st

reet
June 30, 2014 Page 53 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

95. Trading 

Account 

Omnibus 

Account 

Originator 

Suite

Question 10i Conditional. 

Required if 

information 

available AND 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Suite of omnibus 

trading account 

Originator

cftcBatch/cftcForm102/relat

edAccount/relatedEntity@s

uite

96. Trading 

Account 

Omnibus 

Account 

Originator 

City

Question 10i Conditional. 

Required if 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

City of the 

omnibus trading 

account 

Originator

cftcBatch/cftcForm102/relat

edAccount/relatedEntity@ci

ty

97. Trading 

Account 

Omnibus 

Question 10i Conditional. 

Required if 

isTradingAccount

ISO 3166-2 

geopolitical 

subdivision code; 

cftcBatch/cftcForm102/relat

edAccount/relatedEntity@st

ate
June 30, 2014 Page 54 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Account 

Originator 

State

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

1-3 alphanumeric 

characters

98. Trading 

Account 

Omnibus 

Account 

Originator 

Country

Question 10i Conditional. 

Required if 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm102/relat

edAccount/relatedEntity@c

ountry

99. Trading 

Account 

Omnibus 

Account 

Originator 

Zip/Postal 

Code

Question 10i Conditional. 

Required if 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Zip/Postal code 

of the omnibus 

trading account 

Originator

cftcBatch/cftcForm102/relat

edAccount/relatedEntity@p

ostalCode
June 30, 2014 Page 55 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

100. Trading 

Account 

Omnibus 

Account 

Originator 

Phone 

Number

Question 10i Conditional. 

Required if 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Phone Number of 

the omnibus 

trading account 

Originator

cftcBatch/cftcForm102/relat

edAccount/relatedEntity@te

lephone

101. Trading 

Account 

Omnibus 

Account 

Originator 

Contact Last 

Name

Question 10i Conditional. 

Required if 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Surname of the 

contact for the 

Originator 

cftcBatch/cftcForm102/relat

edAccount/relatedEntity/con

tact@lastName

102. Trading 

Account 

Omnibus 

Account 

Originator 

Contact First 

Name

Question 10i Conditional. 

Required if 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

First name of the 

contact for the 

Originator

cftcBatch/cftcForm102/relat

edAccount/relatedEntity/con

tact@firstName
June 30, 2014 Page 56 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

103. Trading 

Account 

Omnibus 

Account 

Contact 

Middle 

Name

Question 10i Conditional. 

Required if

information 

available AND 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Middle name of 

the contact for the 

Originator

cftcBatch/cftcForm102/relat

edAccount/relatedEntity/con

tact@middleName

104. Trading 

Account 

Omnibus 

Account 

Contact 

Suffix

Question 10i Conditional. 

Required if 

information 

available AND 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

Suffix of the 

contact for the 

Originator

cftcBatch/cftcForm102/relat

edAccount/relatedEntity/con

tact@nameSuffix
June 30, 2014 Page 57 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

105. Trading 

Account 

Omnibus 

Account 

Originator 

Contact Job 

Title

Question 10i Conditional. 

Required if 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Job title of the 

contact person for 

Originator entity

cftcBatch/cftcForm102/relat

edAccount/relatedEntity/con

tact@titleOrPosition

106. Contact 

Relationship 

to Trading 

Account 

Omnibus 

Account 

Originator

Question 10i Conditional. 

Required if 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

Contact 

relationship to the 

Originator entity

cftcBatch/cftcForm102/relat

edAccount/relatedEntity/con

tact@relationship
June 30, 2014 Page 58 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ported = ‘N’

107. Trading 

Account 

Omnibus 

Account 

Originator 

Contact 

Phone 

Number

Question 10i Conditional. 

Required if 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Phone number of 

the contact 

person for the 

Originator entity

cftcBatch/cftcForm102/relat

edAccount/relatedEntity/con

tact@telephone

108. Trading 

Account 

Omnibus 

Account 

Originator 

Contact 

Email 

Address

Question 10i Conditional. 

Required if 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

Email address of 

the contact 

person for the 

Originator entity

cftcBatch/cftcForm102/relat

edAccount/relatedEntity/con

tact@email
June 30, 2014 Page 59 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

109. Trading 

Account 

Omnibus 

Account 

Originator 

Website

Question 10i Conditional. 

Required if 

information 

available AND 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported = ‘N’

URL of the 

Originator’s 

website

cftcBatch/cftcForm102/relat

edAccount/relatedEntity@w

ebsite

110. Trading 

Account 

Omnibus 

Account 

Originator 

NFA ID

Question 10i Conditional. 

Required if 

information 

available AND 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

The identification 

number given to 

the Originator 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/relat

edAccount/relatedEntity@N

FAIdentifier
June 30, 2014 Page 60 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

111. Trading 

Account 

Omnibus 

Account 

Originator 

Legal Entity 

Identifier 

(LEI)

Question 10i Conditional. 

Required if 

information 

available AND 

isTradingAccount

=‘Y’ 

AND isOmnibus 

=‘Y’ AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

Originator entity 

by the LEI issuer

cftcBatch/cftcForm102/relat

edAccount/relatedEntity@le

galEntityIdentifier

TRADING ACCOUNT OWNER(S)

112. Trading 

Account 

Owner 

Indicator

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

THEN 

isOwner=‘Y’

Indicates 

reporting special 

account owner

Y = Yes

N = No

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@isOwner

113. Trading 

Account 

Owner Type 

Indicator

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

Indicates whether 

the special 

account owner is 

a legal entity or 

natural person

LE = Legal Entity

NP = Natural 

Person

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@entityType
June 30, 2014 Page 61 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isOwner=‘Y’

114. Trading 

Account 

Owner 

Optional 

Fields or 

Supplemental 

Fields 

Reported to 

LEI Provider

Question 10ii Conditional, if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

Indicates that one 

or more 

“Optional Fields” 

or “Supplemental 

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with 

the LEI provided 

in this submission

Y = Yes

N = No

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@OptionalOrSuppFieldsSe

paratelyReported

IF TRADING ACCOUNT OWNER IS A LEGAL ENTITY

115. Trading 

Account 

Owner Legal 

Entity Name

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

Legal or 

registered name 

of the trading 

account owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@legalEntityName
June 30, 2014 Page 62 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

entityType=‘LE’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

IF TRADING ACCOUNT OWNER IS A NATURAL PERSON

116. Trading 

Account 

Owner 

Natural 

Person Last 

Name

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

Surname of the 

natural person 

trading account 

owner 

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@lastName

117. Trading 

Account 

Owner 

Natural 

Person First 

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

Given or first in 

order name of the 

natural person 

trading account 

owner 

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@firstName
June 30, 2014 Page 63 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Name isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

118. Trading 

Account 

Owner 

Middle 

Name

Question 10ii Conditional. 

Required if 

information 

available AND 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

Middle name of 

the natural person 

trading account 

owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@middleName

119. Trading 

Account 

Owner Suffix

Question 10ii Conditional. 

Required if 

information 

Suffix of the 

natural person 

trading account 

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@nameSuffix
June 30, 2014 Page 64 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

available AND 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’

owner

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

120. Trading 

Account 

Owner Street 

Address

Question 10ii Conditional.

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

Street address of 

the trading 

account owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@street
June 30, 2014 Page 65 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

FollowOnInform

ationToCome=‘N

’

121. Trading 

Account 

Owner Suite

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’ 

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

ationToCome=‘N

’

Suite of the 

trading account 

owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@suite

122. Trading 

Account 

Owner City

Question 10ii Conditional.

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSuppF

City of the 

trading account 

owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@city
June 30, 2014 Page 66 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

ationToCome=‘N

’

123. Trading 

Account 

Owner State

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

ationToCome=‘N

’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@state

124. Trading 

Account 

Owner 

Country

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@country
June 30, 2014 Page 67 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

ationToCome=‘N

’

125. Trading 

Account 

Owner 

Zip/Postal 

Code

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

ationToCome=‘N

’

Zip/Postal code 

of the trading 

account owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@postalCode

126. Trading 

Account 

Owner Phone 

Number

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

Phone Number of 

the trading 

account owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@telephone
June 30, 2014 Page 68 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isOwner=‘Y’ 

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

ationToCome=‘N

’

IF TRADING ACCOUNT OWNER IS A NATURAL PERSON

127. Trading 

Account 

Owner Email 

Address

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘NP’ 

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

ationToCome=‘N

Email address of 

the trading 

account owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@email
June 30, 2014 Page 69 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

’

IF TRADING ACCOUNT OWNER IS A LEGAL ENTITY

128. Trading 

Account 

Owner 

Contact Last 

Name

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

ationToCome=‘N

’

Surname of the 

natural person 

contact for the 

owner 

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y/contact@lastName

129. Trading 

Account 

Owner 

Contact First 

Name

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

First name of the 

natural person 

contact for the

owner 

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y/contact@firstName
June 30, 2014 Page 70 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

ationToCome=‘N

’

130. Trading 

Account 

Owner 

Contact 

Middle 

Name

Question 10ii Conditional. 

Required if 

information 

available AND 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

Middle name of 

the natural person 

contact for the 

owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y/contact@middleName
June 30, 2014 Page 71 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ationToCome=‘N

’

131. Trading 

Account 

Owner 

Contact

Suffix

Question 10ii Conditional. 

Required if 

information 

available AND 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

ationToCome=‘N

’

Suffix of the 

natural person 

contact for the 

owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y/contact@nameSuffix

132. Trading 

Account 

Owner 

Contact Job 

Title

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

Job title of the 

contact person for 

the ownership 

entity

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y/contact@titleOrPosition
June 30, 2014 Page 72 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

ationToCome=‘N

’

133. Contact 

Relationship 

to Trading 

Account 

Owner

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

ationToCome=‘N

’

Contact 

relationship to the 

trading account 

owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y/contact@relationship
June 30, 2014 Page 73 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

134. Trading 

Account 

Owner 

Contact 

Phone 

Number

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

ationToCome=‘N

’

Phone number of 

the contact 

person for the 

ownership entity

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y/contact@telephone

135. Trading 

Account 

Owner 

Contact 

Email 

Address

Question 10ii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

Email address of 

the contact 

person for the 

ownership entity 

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y/contact@email
June 30, 2014 Page 74 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

ationToCome=‘N

’

136. Trading 

Account 

Owner 

Website

Question 10ii Conditional. 

Required if 

information 

available AND 

isTradingAccount

=‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’ 

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

ationToCome=‘N

’

URL of the 

owner’s website

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@website

137. Trading 

Account 

Owner NFA 

ID

Question 10ii Conditional. 

Required if 

information 

available AND 

isTradingAccount

=‘Y’ AND 

The identification 

number given to 

the ownership 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@NFAIdentifier
June 30, 2014 Page 75 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported=‘N’ AND 

FollowOnInform

ationToCome=‘N

’

138. Trading 

Account 

Owner Legal 

Entity 

Identifier 

(LEI)

Question 10ii Conditional. 

Required if 

information 

available AND 

isTradingAccount

=‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSuppF

ieldsSeparatelyRe

ported =‘Y’ AND 

FollowOnInform

ationToCome=‘N

’

The legal entity 

identifier (LEI) 

assigned to the 

ownership entity 

by the LEI issuer

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@legalEntityIdentifier
June 30, 2014 Page 76 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

TRADING ACCOUNT CONTROLLER(S)

139. Trading 

Account 

Controller 

Indicator

Question 10iii Conditional, if 

isTradingAccount

=‘Y’ AND 

isOmnibus=‘N’ 

THEN 

isController=‘Y’

Indicates 

reporting special 

account 

Controller

Y = Yes

N = No

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@isController

140. Trading 

Account 

Controller 

Entity Type

Question 10iii Conditional, if 

isTradingAccount

=‘Y’ AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

THEN 

entityType=‘NP’

NP = Natural 

Person

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@entityType

141. Trading 

Account 

Controller 

Natural 

Person Last 

Name

Question 10iii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

Surname of the 

natural person 

trading account 

Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@lastName

142. Trading 

Account 

Controller 

Question 10iii Conditional. 

Required if 

isTradingAccount

Given or first in 

order name of the 

natural person 

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@firstName
June 30, 2014 Page 77 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Natural 

Person First 

Name

=‘Y’ AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

trading account 

Controller

143. Trading 

Account 

Controller 

Natural 

Person 

Middle 

Name

Question 10iii Conditional. 

Required if 

information 

available AND 

isTradingAccount

=‘Y’ AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

Middle name of 

the natural person 

trading account 

Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@middleName

144. Trading 

Account 

Controller 

Natural 

Person Suffix

Question 10iii Conditional. 

Required if 

information 

available AND 

isTradingAccount

=‘Y’ AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

Suffix of the 

natural person 

trading account 

Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@nameSuffix

145. Trading 

Account 

Controller 

Street 

Address

Question 10iii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’ 

Street address of 

the trading 

account 

Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@street
June 30, 2014 Page 78 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘N

’

146. Trading 

Account 

Controller 

Suite

Question 10iii Conditional. 

Required if 

information 

available AND 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘N

’

Suite of the 

trading account 

Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@suite

147. Trading 

Account 

Controller 

City

Question 10iii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

City of the 

trading account 

Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@city
June 30, 2014 Page 79 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

FollowOnInform

ationToCome=‘N

’

148. Trading 

Account 

Controller 

State

Question 10iii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘N

’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@state

149. Trading 

Account 

Controller 

Country

Question 10iii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘N

’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@country
June 30, 2014 Page 80 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

150. Trading 

Account 

Controller 

Zip/Postal 

Code

Question 10iii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘N

’

Zip/Postal code 

of the trading 

account 

Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@postalCode

151. Trading 

Account 

Controller 

Phone 

Number

Question 10iii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘N

’

Phone Number of 

the trading 

account 

Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@telephone

152. Trading 

Account 

Controller 

Name of 

Question 10iii Conditional. 

Required if 

isTradingAccount

=‘Y’

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@employerName
June 30, 2014 Page 81 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Employer AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘N

’

153. Trading 

Account 

Controller 

Employer 

NFA ID

Question 10iii Conditional. 

Required if 

information 

available AND 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘N

’

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@employerNFAIdentifier

154. Trading 

Account 

Controller 

Employer 

Legal Entity 

Identifier

Question 10iii Conditional. 

Required if 

information 

available AND 

isTradingAccount

=‘Y’

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@employerLEI
June 30, 2014 Page 82 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘N

’

155. Trading 

Account 

Controller 

Job Title

Question 10iii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘N

’

Job title of the 

contact person for 

the Controller 

entity

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@titleOrPosition

156. Relationship 

to Trading 

Account 

Owner

Question 10iii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

Relationship to 

the trading 

account owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@relationship
June 30, 2014 Page 83 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

FollowOnInform

ationToCome=‘N

’

157. Trading 

Account 

Controller 

Email 

Address

Question 10iii Conditional. 

Required if 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘N

’

Email address of 

the trading 

account 

Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@email

158. Trading 

Account 

Controller 

NFA ID

Question 10iii Conditional.

Required if 

information 

available AND 

isTradingAccount

=‘Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

The identification 

number given to 

the Controller 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntit

y@NFAIdentifier
June 30, 2014 Page 84 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ationToCome=‘N

’

FOR REPORTING FIRMS THAT ARE FOREIGN BROKERS

159. U.S. Futures 

Commission 

Merchant 

Indicator

Question 11 Conditional, if 

cftcForm102@is

FB = ‘Y’ THEN 

relatedEntity@is

FCM = ‘Y’

Indicates U.S. 

futures 

commission 

merchant when 

reporting firm 

indicated as 

foreign broker

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edEntity@isFCM13

160. U.S. Futures 

Commission 

Merchant 

Entity Type

Question 11 Conditional, if

isFCM = ‘Y’ 

THEN entityType 

= ‘LE’

LE = Legal Entity cftcBatch/cftcForm102/relat

edEntity@entityType

161. U.S. Futures 

Commission 

Merchant 

Legal Entity 

Name

Question 11 Conditional, if

isFCM = ‘Y’ 

Legal Entity 

Name of the U.S. 

Futures 

Commission 

Merchant

cftcBatch/cftcForm102/relat

edEntity@legalEntityName

162. U.S. Futures 

Commission 

Merchant 

Question 11 Conditional, if

isFCM = ‘Y’

Street address of 

the reportable 

account U.S. 

cftcBatch/cftcForm102/relat

edEntity@street

 

13 Foreign broker reporting parties may report multiple U.S. futures commission merchants in response to question 11 on the Form 102A. To do 

so, reporting parties must provide an additional relatedEntity element for each reported U.S. FCM. Each element should contain isFCM = ‘Y’ and 

all fields should be completed with respect to each reported U.S. FCM.
June 30, 2014 Page 85 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Street 

Address

Futures 

Commission 

Merchant

163. U.S. Futures 

Commission 

Merchant 

Suite

Question 11 Conditional. 

Required if 

information 

available AND 

isFCM = ‘Y’

Suite of the 

reportable 

account U.S. 

Futures 

Commission 

Merchant

cftcBatch/cftcForm102/relat

edEntity@suite

164. U.S. Futures 

Commission 

Merchant 

City

Question 11 Conditional, if

isFCM = ‘Y’

City of the 

reportable 

account U.S. 

Futures 

Commission 

Merchant

cftcBatch/cftcForm102/relat

edEntity@city

165. U.S. Futures 

Commission 

Merchant 

State

Question 11 Conditional, if

isFCM = ‘Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/relat

edEntity@state

166. U.S. Futures 

Commission 

Merchant 

Country

Question 11 Conditional, if

isFCM = ‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm102/relat

edEntity@country

167. U.S. Futures 

Commission 

Merchant 

Question 11 Conditional, if

isFCM = ‘Y’

Zip/Postal code 

of the reportable 

account U.S. 

cftcBatch/cftcForm102/relat

edEntity@postalCode
June 30, 2014 Page 86 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Zip/Postal 

Code

Futures 

Commission 

Merchant

168. U.S. Futures 

Commission 

Merchant 

Contact Last 

Name

Question 11 Conditional, if

isFCM = ‘Y’

Surname of the 

natural person 

contact for the 

U.S. Futures 

Commission 

Merchant

cftcBatch/cftcForm102/relat

edEntity/contact@lastName

169. U.S. Futures 

Commission 

Merchant 

Contact First 

Name

Question 11 Conditional, if

isFCM = ‘Y’

First name of the 

natural person 

contact for the 

U.S. Futures 

Commission 

Merchant

cftcBatch/cftcForm102/relat

edEntity/contact@firstName

170. U.S. Futures 

Commission 

Merchant 

Contact 

Middle 

Name

Question 11 Conditional. 

Required if 

information 

available AND 

isFCM = ‘Y’

Middle name of 

the natural person 

contact for the 

U.S. Futures 

Commission 

Merchant

cftcBatch/cftcForm102/relat

edEntity/contact@middleNa

me

171. U.S. Futures 

Commission 

Merchant 

Contact 

Suffix

Question 11 Conditional. 

Required if 

information 

available AND 

isFCM = ‘Y’

Suffix of the 

natural person 

contact for the 

U.S. Futures 

Commission 

Merchant

cftcBatch/cftcForm102/relat

edEntity/contact@nameSuff

ix
June 30, 2014 Page 87 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

172. U.S. Futures 

Commission 

Merchant 

Contact Job 

Title

Question 11 Conditional, if

isFCM = ‘Y’

Job title of the 

contact person at 

or related to the 

U.S. Futures 

Commission 

Merchant entity

cftcBatch/cftcForm102/relat

edEntity/contact@titleOrPo

sition

173. U.S. Futures 

Commission 

Merchant 

Contact 

Phone 

Number

Question 11 Conditional, if

isFCM = ‘Y’

Phone number of 

the contact 

person at or 

related to the U.S. 

Futures 

Commission 

Merchant entity

cftcBatch/cftcForm102/relat

edEntity/contact@telephone

174. U.S. Futures 

Commission 

Merchant 

Contact 

Email 

Address

Question 11 Conditional, if

isFCM = ‘Y’

Email address of 

the contact 

person at or 

related to the U.S. 

Futures 

Commission 

Merchant entity 

cftcBatch/cftcForm102/relat

edEntity/contact@email

175. Reporting 

Firm 

Authorizatio

n Indicator

Signature/Authen

tication

Yes Indicates if the 

submitter is duly 

authorized by the 

reporting firm to 

provide the 

information and 

representations 

submitted on this 

Y = authorized

N = not authorized

cftcBatch/cftcForm102/cont

act@isAuthorizedRepresent

ative
June 30, 2014 Page 88 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Form 102, and 

that information 

and 

representations 

are true and 

correct

176. Authorized 

Representativ

e Last Name

Signature/Authen

tication

Yes Surname of the 

authorized 

representative

cftcBatch/cftcForm102/cont

act@lastName

177. Authorized 

Representativ

e First Name

Signature/Authen

tication

Yes Given or first in 

order name of the 

authorized 

representative

cftcBatch/cftcForm102/cont

act@firstName

178. Authorized 

Representativ

e Middle 

Name

Signature/Authen

tication

Yes Middle name of 

the authorized 

representative

cftcBatch/cftcForm102/cont

act@middleName

179. Authorized 

Representativ

e Name 

Suffix

Signature/Authen

tication

Yes Generation or 

name suffix of 

the authorized 

representative

cftcBatch/cftcForm102/cont

act@nameSuffix

180. Authorized 

Representativ

e Position

Signature/Authen

tication

Yes Job position of 

the authorized 

representative

cftcBatch/cftcForm102/cont

act@titleOrPosition

181. Authorized 

Representativ

e Submitted 

Signature/Authen

tication

Yes Reporting Firm 

Name 102 was 

submitted on 

cftcBatch/cftcForm102@on

BehalfOf
June 30, 2014 Page 89 of 273

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

on behalf of behalf of

182. Date of 

Submission

Signature/Authen

tication

Yes Date [indicated 

by the authorized 

representative] 

that the form was 

submitted to 

CFTC

cftcBatch/cftcForm102@su

bmitDate

Data Dictionary for Form 102B – Identifying and reporting a volume threshold account14

Note with regard to give-up reporting and as-of reporting on Form 102B:15

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

 

14 When reviewing the data elements in this Technical Document, reporting parties should also review and consult the OCR Final Rule, including 

the requirements of the reporting forms attached as an appendix thereto. The reporting forms are the basis for these data elements. Reporting 

parties should visit this link to view the OCR Final Rule on the Federal Register: https://www.federalregister.gov/articles/2013/11/18/2013-

26789/ownership-and-control-reports-forms-102102s-4040s-and-71

Visit this link to view a pdf copy of the OCR Final Rule: http://www.cftc.gov/ucm/groups/public/@lrfederalregister/documents/file/2013-

26789a.pdf

15 When reporting via Form 102B, reporting parties that receive give-up trades or as-of trades on a delayed basis may account for those trades as of 

the date the trade was originally executed, or as of the date on which the trade is actually received by the reporting party.
June 30, 2014 Page 90 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

1. New/Modifie

d Indicator 

Question 1 Yes Indicates whether 

the volume 

threshold account 

(102B) is:

 Resubmitted 

or 

modified 

Informati

on for a 

previousl

y reported 

volume 

threshold 

account

 Resubmitted 

or 

modified 

Informati

on for a 

previousl

y reported 

volume 

threshold 

account

N = New

M = Modified

cftcBatch/cftcForm102@inf

ormationType
June 30, 2014 Page 91 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

2. Volume 

Threshold 

Trading 

Account 

Number

Question 2 Yes For each Volume 

Threshold 

reported by an 

entity, provide 

the trading 

account number

cftcBatch/cftcForm102/relat

edAccount@accountNumber

3. Short Code Question 2 Conditional. 

Required if

accountCategory

=‘VT’

For the Volume 

Threshold

account reported 

by an entity, 

provide the 

related short 

code

cftcBatch/cftcForm102/relat

edAcctInfo@accountShortC

ode

4. Reporting 

Market

Question 2 Conditional. 

Required if

accountCategory

=‘VT’

Identify the 

reporting market 

at which each 

trading account 

number appears16

ISO Market 

Identifier Code 

(MIC) located at: 

http://www.iso1502

2.org/MIC/homepa

geMIC.htm17

cftcBatch/cftcForm102/relat

edAcctInfo@marketIdentifie

r

 

16 If a trading account number appears at multiple reporting markets, then reporting parties may report multiple reporting markets in response to 

question 2 on the Form 102B. In this case, parties should report a short code for the trading account in connection with each such reporting 

market.

17 See the CFTC website at http://www.cftc.gov/IndustryOversight/TradingOrganizations/index.htm for a list of trading organizations regulated by 

the CFTC. 
June 30, 2014 Page 92 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

5. Associated 

Special 

Account 

Indicator

Question 3 No If the volume 

threshold account 

has been 

previously 

identified as a 

trading account 

that comprises a 

special 

account(s) 

reported by a 

clearing member 

in question 9 in 

section 102A

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edAccount@isSpecialAccou

nt

6. Associated 

Special 

Account 

Number

Question 3 No If the volume 

threshold account 

has been 

previously 

identified as a 

trading account 

that comprises a 

special 

account(s) 

reported by a 

clearing member 

in question 9 in 

section 102A

cftcBatch/cftcForm102/relat

edAccount@accountNumber
June 30, 2014 Page 93 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

VOLUME THRESHOLD ACCOUNT OWNERSHIP AND CONTROL INFORMATION

OMNIBUS ACCOUNT INFORMATION

7. Volume 

Threshold 

Account 

Omnibus 

Account 

Indicator

Question 4 Conditional. 

Required if

accountCategory

=‘VT’

Is the Volume 

Threshold 

Account an 

omnibus account, 

or used to 

execute trades 

for an omnibus 

account

Y = Yes

N = No

cftcBatch/cftcForm102@isO

mnibus

8. House or 

Customer 

Indicator

Question 4 Conditional. 

Required if

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

If the reported 

Volume 

Threshold 

Account is being 

reported as an 

Omnibus 

Account indicate 

whether the 

Volume 

Threshold 

Account 

Omnibus 

Account is a 

house or 

customer account 

H = House

C = Customer

cftcBatch/cftcForm102@acc

ountClass
June 30, 2014 Page 94 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

of the reporting 

firm

9. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Indicator

Question 4 Conditional. 

Required if

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

THEN 

isOriginator = 

‘Y’

Indicates 

reporting 

Volume 

Threshold 

Account 

Omnibus 

Account 

originator

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edEntity@isOriginator

10. Volume 

Threshold 

Account 

Omnibus 

Account 

Optional 

Fields or 

Supplementa

l Fields 

Reported to 

LEI Provider

Question 4 Conditional. 

Required if

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

Indicates that one 

or more 

“Optional Fields” 

or “Supplemental 

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with 

the LEI provided 

in this 

submission

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edEntity@OptionalOrSuppF

ieldsSeparatelyReported
June 30, 2014 Page 95 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

11. Volume 

Threshold 

Account 

Omnibus 

Account 

Entity Type

Question 4 Yes, 

entityType=‘LE’

LE=Legal Entity cftcBatch/cftcForm102/relat

edEntity@entityType

12. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Name

Question 4 Conditional. 

Required if

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Legal or 

registered name 

of the reportable 

account 

Originator 

cftcBatch/cftcForm102/relat

edEntity@legalEntityName

13. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Street 

Address

Question 4 Conditional. 

Required if

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Street address of 

the reportable 

account 

Originator

cftcBatch/cftcForm102/relat

edEntity@street
June 30, 2014 Page 96 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

14. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Suite

Question 4 Conditional. 

Required if 

information 

available AND 

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Suite of the 

reportable 

account 

Originator

cftcBatch/cftcForm102/relat

edEntity@suite

15. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

City

Question 4 Conditional. 

Required if 

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

City of the 

reportable 

account 

Originator

cftcBatch/cftcForm102/relat

edEntity@city

16. Volume 

Threshold 

Account 

Omnibus 

Account 

Question 4 Conditional. 

Required if 

accountCategory

=‘VT’

AND isOmnibus 

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/relat

edEntity@state
June 30, 2014 Page 97 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Originator 

State

=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

17. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Country

Question 4 Conditional. 

Required if 

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm102/relat

edEntity@country

18. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Zip/Postal 

Code

Question 4 Conditional. 

Required if 

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Zip/Postal code 

of the reportable 

account 

Originator

cftcBatch/cftcForm102/relat

edEntity@postalCode

19. Volume 

Threshold 

Account 

Question 4 Conditional. 

Required if 

accountCategory

Phone Number 

of the reportable 

account 

cftcBatch/cftcForm102/relat

edEntity@telephone
June 30, 2014 Page 98 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Omnibus 

Account 

Originator 

Phone 

Number

=‘VT’

AND isOmnibus 

=‘Y’ AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Originator

20. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Contact Last 

Name

Question 4 Conditional. 

Required if 

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Surname of the 

natural person 

contact for the 

Originator 

cftcBatch/cftcForm102/relat

edEntity/contact@lastName

21. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Contact First 

Name

Question 4 Conditional. 

Required if 

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

First name of the 

natural person 

contact for the 

Originator

cftcBatch/cftcForm102/relat

edEntity/contact@firstName
June 30, 2014 Page 99 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

FieldsSeparately

Reported = ‘N’

22. Volume 

Threshold 

Account 

Omnibus 

Account 

Contact 

Middle 

Name

Question 4 Conditional. 

Required if 

information 

available AND 

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Middle name of 

the natural 

person contact 

for the Originator

cftcBatch/cftcForm102/relat

edEntity/contact@middleNa

me

23. Volume 

Threshold 

Account 

Omnibus 

Account 

Contact 

Suffix

Question 4 Conditional. 

Required if 

information 

available AND 

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

Suffix of the 

natural person 

contact for the 

Originator

cftcBatch/cftcForm102/relat

edEntity/contact@nameSuffi

x
June 30, 2014 Page 100 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

24. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Contact Job 

Title

Question 4 Conditional. 

Required if 

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Job title of the 

contact person 

for the Originator 

entity

cftcBatch/cftcForm102/relat

edEntity/contact@titleOrPos

ition

25. Contact 

Relationship 

to Volume 

Threshold 

Account 

Omnibus 

Account 

Originator

Question 4 Conditional. 

Required if 

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Contact 

relationship to 

the Originator 

entity

cftcBatch/cftcForm102/relat

edEntity/contact@relationsh

ip
June 30, 2014 Page 101 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

26. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Contact 

Phone 

Number

Question 4 Conditional. 

Required if 

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Phone number of 

the contact 

person for the 

Originator entity 

cftcBatch/cftcForm102/relat

edEntity/contact@telephone

27. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Contact 

Email 

Address

Question 4 Conditional. 

Required if 

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Email address of 

the contact 

person for the 

Originator entity 

cftcBatch/cftcForm102/relat

edEntity/contact@email

28. Volume 

Threshold 

Account 

Omnibus 

Question 4 Conditional. 

Required if 

information 

available AND 

URL of the 

Originator’s 

website

cftcBatch/cftcForm102/relat

edEntity@website
June 30, 2014 Page 102 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Account 

Originator 

Website

if 

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

29. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

NFA ID

Question 4 Conditional. 

Required if 

information 

available AND 

if 

accountCategory

=‘VT’

AND isOmnibus 

=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

The 

identification 

number given to 

the Originator 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/relat

edEntity@NFAIdentifier

30. Volume 

Threshold 

Account 

Omnibus 

Question 4 Conditional. 

Required if

accountCategory

=‘VT’ AND 

The legal entity 

identifier (LEI) 

assigned to the 

Originator entity 

cftcBatch/cftcForm102/relat

edEntity@legalEntityIdentifi

er
June 30, 2014 Page 103 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Account 

Originator 

Legal Entity 

Identifier 

(LEI)

isOmnibus =‘Y’

AND

OptionalOrSupp

FieldsSeparately

Reported =‘Y’

by the LEI issuer

VOLUME THRESHOLD ACCOUNT OWNER(S)

31. Volume 

Threshold 

Account 

Owner 

Indicator

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

THEN 

isOwner=‘Y’

Indicates 

reportable 

Volume 

Threshold 

account owner

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edEntity@isOwner

32. Volume 

Threshold

Account 

Owner Type 

Indicator

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

Indicates whether 

the Volume 

Threshold 

account owner is 

a legal entity or 

natural person

LE = Legal Entity

NP = Natural 

Person

cftcBatch/cftcForm102/relat

edEntity@entityType

33. Volume 

Threshold 

Account 

Owner 

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

Indicates that one 

or more 

“Optional Fields” 

or “Supplemental 

cftcBatch/cftcForm102/relat

edEntity@OptionalOrSuppF

ieldsSeparatelyReported
June 30, 2014 Page 104 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Optional 

Fields or 

Supplementa

l Fields 

Reported to 

LEI Provider

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with 

the LEI provided 

in this 

submission

IF VOLUME THRESHOLD ACCOUNT OWNER IS A LEGAL ENTITY

34. Volume 

Threshold

Account 

Owner Legal 

Entity Name

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Legal or 

registered name 

of the reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@legalEntityName
June 30, 2014 Page 105 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Reported=‘N’

IF VOLUME THRESHOLD ACCOUNT OWNER IS A NATURAL PERSON

35. Volume 

Threshold

Account 

Owner Last 

Name

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Surname of the 

natural person 

reportable 

account owner 

cftcBatch/cftcForm102/relat

edEntity@lastName

36. Volume 

Threshold

Account 

Owner First 

Name

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

Given or first in 

order name of the 

natural person 

reportable 

account owner 

cftcBatch/cftcForm102/relat

edEntity@firstName
June 30, 2014 Page 106 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

entityType=‘NP’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

37. Volume 

Threshold 

Account 

Owner 

Middle 

Name

Question 5 Conditional. 

Required if 

information 

available AND 

accountCategory

=‘VT’

AND

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Middle name of 

the natural 

person reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@middleName

38. Volume 

Threshold 

Account 

Owner 

Suffix

Question 5 Conditional. 

Required if 

information 

available AND 

accountCategory

=‘VT’

AND 

Suffix of the 

natural person 

reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@nameSuffix
June 30, 2014 Page 107 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

39. Volume 

Threshold

Account 

Owner Street 

Address

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

AND

FollowOnInform

ationToCome=‘

N’

Street address of 

the reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@street
June 30, 2014 Page 108 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

40. Volume 

Threshold 

Account 

Owner Suite

Question 5 Conditional. 

Required if 

information 

available AND 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

AND 

FollowOnInform

ationToCome=‘

N’

Suite of the 

reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@suite

41. Volume 

Threshold

Account 

Owner City

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSupp

City of the 

reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@city
June 30, 2014 Page 109 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

FieldsSeparately

Reported=‘N’

AND 

FollowOnInform

ationToCome=‘

N’

42. Volume 

Threshold

Account 

Owner State

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

AND 

FollowOnInform

ationToCome=‘

N’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/relat

edEntity@state

43. Volume 

Threshold

Account 

Owner 

Country

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm102/relat

edEntity@country
June 30, 2014 Page 110 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

AND 

FollowOnInform

ationToCome=‘

N’

44. Volume 

Threshold

Account 

Owner 

Zip/Postal 

Code

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

AND 

FollowOnInform

ationToCome=‘

N’

Zip/Postal code 

of the reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@postalCode
June 30, 2014 Page 111 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

45. Volume 

Threshold

Account 

Owner 

Phone 

Number

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

AND 

FollowOnInform

ationToCome=‘

N’

Phone Number 

of the reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@telephone

IF VOLUME THRESHOLD ACCOUNT OWNER IS A NATURAL PERSON

46. Volume 

Threshold

Account 

Owner Email 

Address

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

Email address of 

the reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@email
June 30, 2014 Page 112 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

entityType=‘NP’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

AND 

FollowOnInform

ationToCome=‘

N’

IF VOLUME THRESHOLD ACCOUNT OWNER IS A LEGAL ENTITY

47. Volume 

Threshold

Account 

Owner 

Contact Last 

Name

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

AND 

Surname of the 

natural person 

contact for the 

owner

cftcBatch/cftcForm102/relat

edEntity/contact@lastName
June 30, 2014 Page 113 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

FollowOnInform

ationToCome=‘

N’

48. Volume 

Threshold

Account 

Owner 

Contact First 

Name

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

AND 

FollowOnInform

ationToCome=‘

N’

First name of the 

natural person 

contact for the 

owner 

cftcBatch/cftcForm102/relat

edEntity/contact@firstName

49. Volume 

Threshold 

Account 

Owner 

Contact 

Middle 

Name

Question 5 Conditional. 

Required if 

information 

available AND 

accountCategory

=‘VT’

AND 

Middle name of 

the natural 

person contact 

for the owner

cftcBatch/cftcForm102/relat

edEntity/contact@middleNa

me
June 30, 2014 Page 114 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

AND 

FollowOnInform

ationToCome=‘

N’

50. Volume 

Threshold 

Account 

Owner 

Contact 

Suffix

Question 5 Conditional. 

Required if 

information 

available AND 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Suffix of the 

natural person 

contact for the 

owner

cftcBatch/cftcForm102/relat

edEntity/contact@nameSuffi

x
June 30, 2014 Page 115 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Reported=‘N’

AND 

FollowOnInform

ationToCome=‘

N’

51. Volume 

Threshold

Account 

Owner 

Contact Job 

Title

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

AND 

FollowOnInform

ationToCome=‘

N’

Job title of the 

contact person at 

for the ownership 

entity

cftcBatch/cftcForm102/relat

edEntity/contact@titleOrPos

ition

52. Contact 

Relationship 

to Volume 

Threshold

Account 

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

Contact 

relationship to 

the ownership 

entity

cftcBatch/cftcForm102/relat

edEntity/contact@relationsh

ip
June 30, 2014 Page 116 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Owner isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

AND 

FollowOnInform

ationToCome=‘

N’

53. Volume 

Threshold

Account 

Owner 

Contact 

Phone 

Number

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

AND 

Phone number of 

the contact 

person for the 

ownership entity 

cftcBatch/cftcForm102/relat

edEntity/contact@telephone
June 30, 2014 Page 117 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

FollowOnInform

ationToCome=‘

N’

54. Volume 

Threshold

Account 

Owner 

Contact 

Email 

Address

Question 5 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

AND 

FollowOnInform

ationToCome=‘

N’

Email address of 

the contact 

person for the 

ownership entity 

cftcBatch/cftcForm102/relat

edEntity/contact@email

55. Volume 

Threshold

Account 

Owner 

Website

Question 5 Conditional. 

Required if 

information 

available AND, 

if 

accountCategory

=‘VT’

URL of the 

owner’s website

cftcBatch/cftcForm102/relat

edEntity@website
June 30, 2014 Page 118 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

AND 

FollowOnInform

ationToCome=‘

N’

56. Volume 

Threshold

Account 

Owner NFA 

ID

Question 5 Conditional. 

Required if 

information 

available AND 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

AND 

FollowOnInform

The 

identification 

number given to 

the ownership 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/relat

edEntity@NFAIdentifier
June 30, 2014 Page 119 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ationToCome=‘

N’

57. Volume 

Threshold

Account 

Owner Legal 

Entity 

Identifier 

(LEI)

Question 5 Conditional. 

Required if 

information 

available AND 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND

OptionalOrSupp

FieldsSeparately

Reported =‘Y’

AND 

FollowOnInform

ationToCome=‘

N’

The legal entity 

identifier (LEI) 

assigned to the 

ownership entity 

by the LEI issuer

cftcBatch/cftcForm102/relat

edEntity@legalEntityIdentifi

er

VOLUME THRESHOLD ACCOUNT CONTROLLER(S)

58. Volume 

Threshold 

Account 

Controller 

Indicator

Question 6 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

Indicates 

reporting 

Volume 

Threshold 

account 

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edEntity@isController
June 30, 2014 Page 120 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isOmnibus=‘N’ 

THEN 

isController=‘Y’

Controller

59. Volume 

Threshold 

Account 

Controller 

Entity Type

Question 6 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

THEN 

entityType=‘NP’

NP = Natural 

Person

cftcBatch/cftcForm102/relat

edEntity@entityType

60. Volume 

Threshold

Account 

Controller 

Natural 

Person Last 

Name

Question 6 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

Surname of the 

natural person 

reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@lastName

61. Volume 

Threshold

Account 

Controller 

Natural 

Person First 

Name

Question 6 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’ 

AND 

Given or first in 

order name of the 

natural person 

reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@firstName
June 30, 2014 Page 121 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isController=‘Y’

62. Volume 

Threshold

Account 

Controller 

Natural 

Person 

Middle 

Name

Question 6 Conditional. 

Required if 

information 

available AND 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

Middle name of 

the natural 

person reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@middleName

63. Volume 

Threshold

Account 

Controller 

Natural 

Person 

Suffix

Question 6 Conditional. 

Required if 

information 

available AND 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

Suffix of the 

natural person 

reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@nameSuffix

64. Volume 

Threshold

Account 

Controller 

Street 

Question 6 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

Street address of 

the reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@street
June 30, 2014 Page 122 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Address isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘

N’

65. Volume 

Threshold

Account 

Controller 

Suite

Question 6 Conditional (not 

required), if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘

N’

Suite of the 

reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@suite

66. Volume 

Threshold

Account 

Controller 

City

Question 6 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

City of the 

reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@city
June 30, 2014 Page 123 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

FollowOnInform

ationToCome=‘

N’

67. Volume 

Threshold

Account 

Controller 

State

Question 6 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘

N’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/relat

edEntity@state

68. Volume 

Threshold

Account 

Controller 

Country

Question 6 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘

N’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm102/relat

edEntity@country
June 30, 2014 Page 124 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

69. Volume 

Threshold

Account 

Controller 

Zip/Postal 

Code

Question 6 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘

N’

Zip/Postal code 

of the reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@postalCode

70. Volume 

Threshold

Account 

Controller 

Phone 

Number

Question 6 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘

N’

Phone Number 

of the reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@telephone

71. Volume 

Threshold 

Account 

Controller 

Question 6 Conditional. 

Required if 

accountCategory

=‘VT’

cftcBatch/cftcForm102/relat

edEntity@employerName
June 30, 2014 Page 125 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Name of 

Employer

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘

N’

72. Volume 

Threshold 

Account 

Controller 

Employer 

NFA ID

Question 6 Conditional. 

Required if 

information 

available AND 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘

N’

cftcBatch/cftcForm102/relat

edEntity@employerNFAIde

ntifier

73. Volume 

Threshold 

Account 

Controller 

Employer 

Legal Entity 

Question 6 Conditional. 

Required if 

information 

available AND 

accountCategory

=‘VT’

cftcBatch/cftcForm102/relat

edEntity@employerLEI
June 30, 2014 Page 126 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Identifier AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘

N’

74. Volume 

Threshold

Account 

Controller 

Job Title

Question 6 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘

N’

Job title of the 

contact person 

forthe Controller 

entity

cftcBatch/cftcForm102/relat

edEntity@titleOrPosition

75. Relationship 

to Volume 

Threshold

Account 

Owner

Question 6 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

Contact 

relationship to 

trading account 

owner

cftcBatch/cftcForm102/relat

edEntity@relationship
June 30, 2014 Page 127 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

FollowOnInform

ationToCome=‘

N’

76. Volume 

Threshold

Account 

Controller 

Email 

Address

Question 6 Conditional. 

Required if 

accountCategory

=‘VT’

AND 

isOmnibus=‘N’

AND 

isController=‘Y’

AND 

FollowOnInform

ationToCome=‘

N’

Email address of 

the reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@email

77. Volume 

Threshold

Account 

Controller 

NFA ID

Question 6 Conditional. 

Required if 

information 

available AND

accountCategory

=‘VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInform

The 

identification 

number given to 

the Controller 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/relat

edEntity@NFAIdentifier
June 30, 2014 Page 128 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ationToCome=‘

N’

78. Reporting 

Firm 

Authorizatio

n Indicator

Signature/Authent

ication

Yes Indicates if the 

submitter is duly 

authorized by the 

reporting firm to 

provide the 

information and 

representations 

submitted on this 

Form 102, and 

that information 

and 

representations 

are true and 

correct

Y = authorized

N = not authorized

cftcBatch/cftcForm102/cont

act@isAuthorizedRepresent

ative

79. Authorized 

Representati

ve Last 

Name

Signature/Authent

ication

Yes Surname of the 

authorized 

representative

cftcBatch/cftcForm102/cont

act@lastName

80. Authorized 

Representati

ve First 

Name

Signature/Authent

ication

Yes Given or first in 

order name of the 

authorized 

representative

cftcBatch/cftcForm102/cont

act@firstName

81. Authorized 

Representati

ve Middle 

Signature/Authent

ication

Yes Middle name of 

the authorized

representative

cftcBatch/cftcForm102/cont

act@middleName
June 30, 2014 Page 129 of 273

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Name

82. Authorized 

Representati

ve Name 

Suffix

Signature/Authent

ication

Yes Generation or 

name suffix of 

the authorized 

representative

cftcBatch/cftcForm102/cont

act@nameSuffix

83. Authorized 

Representati

ve Position

Signature/Authent

ication

Yes Job position of 

the authorized 

representative

cftcBatch/cftcForm102/cont

act@titleOrPosition

84. Authorized 

Representati

ve Submitted 

on behalf of

Signature/Authent

ication

Yes Reporting Firm 

Name 102 was 

submitted on 

behalf of

cftcBatch/cftcForm102@on

BehalfOf

85. Date of 

Submission

Signature/Authent

ication

Yes Date [indicated 

by the authorized 

representative] 

that the form was 

submitted to 

CFTC

cftcBatch/cftcForm102@sub

mitDate
June 30, 2014 Page 130 of 273

Data Dictionary for Form 102S – Identifying and reporting a consolidated account18

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

1. New/Modifie

d Indicator 

Question 1 Yes Indicates whether 

the consolidated 

account (102S)

is:

 Counterp

arty or 

customer 

reported 

for the 

first time 

 Resubmitted 

or 

modified 

Informati

on for a 

previousl

y reported 

counterpa

N = New

M = Modified

cftcBatch/cftcForm102@inf

ormationType

 

18 When reviewing the data elements in this Technical Document, reporting parties should also review and consult the OCR Final Rule, including 

the requirements of the reporting forms attached as an appendix thereto. The reporting forms are the basis for these data elements. Reporting 

parties should visit this link to view the OCR Final Rule on the Federal Register: https://www.federalregister.gov/articles/2013/11/18/2013-

26789/ownership-and-control-reports-forms-102102s-4040s-and-71

Visit this link to view a pdf copy of the OCR Final Rule: http://www.cftc.gov/ucm/groups/public/@lrfederalregister/documents/file/2013-

26789a.pdf
June 30, 2014 Page 131 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

rty or 

customer

2. 102S 

Counterparty 

Identifier

Question 2 Yes A unique 

identifier for 

each reporting 

entity or 

counterparty/cust

omer as assigned 

by the reporting 

entity

cftcBatch/cftcForm102@acc

ountNumber

3. Special 

Account 

Indicator

Question 2 Yes If the reporting 

entity currently 

identifies a 

counterparty via 

Section 102A of 

a Form 102, the 

identifier used on 

Section 102A of 

the Form 102 

may also be used 

for the 102S 

identifier, as long 

as the same legal 

entity is 

referenced. 

Indicates if the 

same identifier is 

Y = Yes

N = No

cftcBatch/cftcForm102@isS

pecialAccount
June 30, 2014 Page 132 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

being so used. 

4. House or 

Customer 

Indicator

Question 3i Yes Consolidated 

account type 

H = House

C = Customer

cftcBatch/cftcForm102@acc

ountClass

5. Consolidated 

Account 

Omnibus 

Account 

Indicator

Question 3ii Yes Is the reportable 

consolidated 

account an 

omnibus account, 

or used to 

execute trades 

for an omnibus 

account

Y = Yes

N = No

cftcBatch/cftcForm102@isO

mnibus

6. House or 

Customer 

Indicator

Question 3ii Conditional. 

Required if 

isOmnibus =‘Y’

If the reported 

Consolidated 

Account is being 

reported as an 

Omnibus 

Account indicate 

whether the 

Volume 

Threshold 

Account 

Omnibus 

Account is a 

house or 

customer account 

H = House

C = Customer

cftcBatch/cftcForm102@acc

ountClass
June 30, 2014 Page 133 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

of the reporting 

firm

CONSOLIDATED ACCOUNT OWNERSHIP AND CONTROL INFORMATION

OMNIBUS ACCOUNT INFORMATION

7. Consolidated 

Account 

Omnibus 

Account 

Originator 

Indicator

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

THEN 

isOriginator = 

‘Y’

Indicates 

reporting 

Consolidated 

Account 

Omnibus 

Account 

originator

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edEntity@isOriginator

8. Consolidated 

Account 

Omnibus 

Account 

Optional 

Fields or 

Supplementa

l Fields 

Reported to 

LEI Provider

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

Indicates that one 

or more 

“Optional Fields” 

or “Supplemental 

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with 

the LEI provided 

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edEntity@OptionalOrSuppF

ieldsSeparatelyReported
June 30, 2014 Page 134 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

in this 

submission

9. Consolidated 

Account 

Omnibus 

Account 

Entity Type

Question 3ii Yes, 

entityType=‘LE’

LE=Legal Entity cftcBatch/cftcForm102/relat

edEntity@entityType

10. Consolidated 

Account 

Omnibus 

Account 

Originator 

Name

Question 3ii Conditional. 

Required if 

isOmnibus =‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Name of the

reportable 

account 

Originator 

cftcBatch/cftcForm102/relat

edEntity@legalEntityName

11. Consolidated 

Account 

Omnibus 

Account 

Originator 

Street 

Address

Question 3ii Conditional. 

Required if 

isOmnibus =‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Street address of 

the reportable 

account 

Originator

cftcBatch/cftcForm102/relat

edEntity@street

12. Consolidated 

Account 

Omnibus 

Account 

Question 3ii Conditional. 

Required if 

information 

available 

Suite of the 

reportable 

account 

Originator

cftcBatch/cftcForm102/relat

edEntity@suite
June 30, 2014 Page 135 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Originator 

Suite

ANDisOmnibus 

=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

13. Consolidated 

Account 

Omnibus 

Account 

Originator 

City

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

City of the 

reportable 

account 

Originator

cftcBatch/cftcForm102/relat

edEntity@city

14. Consolidated 

Account 

Omnibus 

Account 

Originator 

State

Question 3ii Conditional. 

Required if 

isOmnibus =‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/relat

edEntity@state

15. Consolidated 

Account 

Omnibus 

Account 

Originator 

Country

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm102/relat

edEntity@country
June 30, 2014 Page 136 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

16. Consolidated 

Account 

Omnibus 

Account 

Originator 

Zip/Postal 

Code

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Zip/Postal code 

of the reportable 

account 

Originator

cftcBatch/cftcForm102/relat

edEntity@postalCode

17. Consolidated 

Account 

Omnibus 

Account 

Originator 

Phone 

Number

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Phone Number 

of the reportable 

account 

Originator

cftcBatch/cftcForm102/relat

edEntity@telephone

18. Consolidated 

Account 

Omnibus 

Account 

Originator 

Contact Last 

Name

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Surname of the 

natural person 

contact for the 

Originator 

cftcBatch/cftcForm102/relat

edEntity/contact@lastName

19. Consolidated 

Account 

Omnibus 

Account 

Originator 

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

entityType=‘LE’

First name of the 

natural person 

contact for the 

Originator

cftcBatch/cftcForm102/relat

edEntity/contact@firstName
June 30, 2014 Page 137 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Contact First 

Name

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

20. Consolidated 

Account 

Omnibus 

Account 

Contact 

Middle 

Name

Question 3ii Conditional. 

Required if 

information 

available 

ANDisOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Middle name of 

the natural 

person contact 

for the Originator

cftcBatch/cftcForm102/relat

edEntity/contact@middleNa

me

21. Consolidated 

Account 

Omnibus 

Account 

Contact 

Suffix

Question 3ii Conditional. 

Required if 

information 

available AND

isOmnibus =‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Suffix of the 

natural person 

contact for the 

Originator

cftcBatch/cftcForm102/relat

edEntity/contact@nameSuffi

x
June 30, 2014 Page 138 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

22. Consolidated 

Account 

Omnibus 

Account 

Originator 

Contact Job 

Title

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Job title of the 

contact person 

for the Originator 

entity

cftcBatch/cftcForm102/relat

edEntity/contact@titleOrPos

ition

23. Contact 

Relationship 

to 

Consolidated 

Account 

Omnibus 

Account 

Originator

Question 3ii Conditional, 

ifConditional. 

Required if

isOmnibus =‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Contact 

relationship to

the Originator 

entity

cftcBatch/cftcForm102/relat

edEntity/contact@relationsh

ip

24. Consolidated 

Account 

Omnibus 

Account 

Originator 

Contact 

Phone 

Number

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Phone number of 

the contact 

person for the 

Originator entity 

cftcBatch/cftcForm102/relat

edEntity/contact@telephone
June 30, 2014 Page 139 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

25. Consolidated 

Account 

Omnibus 

Account 

Originator 

Contact 

Email 

Address

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported = ‘N’

Email address of 

the contact 

person for the 

Originator entity 

cftcBatch/cftcForm102/relat

edEntity/contact@email

26. Consolidated 

Account 

Omnibus 

Account 

Originator 

Website

Question 3ii Conditional. 

Required if 

information 

available AND 

isOmnibus =‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

URL of the 

Originator’s 

website

cftcBatch/cftcForm102/relat

edEntity@website

27. Consolidated 

Account 

Omnibus 

Account 

Originator 

NFA ID

Question 3ii Conditional. 

Required if 

information 

available AND 

isOmnibus =‘Y’

AND 

OptionalOrSupp

FieldsSeparately

The 

identification 

number given to 

the Originator 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/relat

edEntity@NFAIdentifier
June 30, 2014 Page 140 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Reported=‘N’

28. Consolidated 

Account 

Omnibus 

Account 

Originator 

Legal Entity 

Identifier 

(LEI)

Question 3ii Conditional. 

Required if 

information 

available AND

isOmnibus=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

Originator entity 

by the LEI issuer

cftcBatch/cftcForm102/relat

edEntity@legalEntityIdentifi

er

CONSOLIDATED ACCOUNT OWNER(S)

29. Consolidated 

Account 

Owner 

Indicator

Question 3iii Conditional. 

Required if

isOmnibus=‘N’

THEN 

isOwner=‘Y’

Indicates 

reportable 

Consolidated 

account owner

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edEntity@isOwner

30. Consolidated 

Account 

Owner Type 

Indicator

Question 3iii Conditional. 

Required if

isOmnibus=‘N’

AND 

isOwner=‘Y’

Indicates whether 

the Consolidated 

account owner is 

a legal entity or 

natural person

LE = Legal Entity

NP = Natural 

Person

cftcBatch/cftcForm102/relat

edEntity@entityType

31. Consolidated 

Account 

Owner 

Question 3iii Conditional. 

Required if

isOmnibus=‘N’

Indicates that one 

or more 

“Optional Fields” 

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edEntity@OptionalOrSuppF

ieldsSeparatelyReported
June 30, 2014 Page 141 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Optional 

Fields or 

Supplementa

l Fields 

Reported to 

LEI Provider

AND 

isOwner=‘Y’

or “Supplemental 

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with 

the LEI provided 

in this 

submission

IF CONSOLIDATED ACCOUNT OWNER IS A LEGAL ENTITY

32. Consolidated

Account 

Owner Legal 

Entity Name

Question 3iii Conditional. 

Required if

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Legal or 

registered name 

of the reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@legalEntityName
June 30, 2014 Page 142 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

IF CONSOLIDATED ACCOUNT OWNER IS A NATURAL PERSON

33. Consolidated

Account 

Owner Last 

Name

Question 3iii Conditional. 

Required if

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Surname of the 

natural person 

reportable 

account owner 

cftcBatch/cftcForm102/relat

edEntity@lastName

34. Consolidated

Account 

Owner First 

Name

Question 3iii Conditional. 

Required if

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Given or first in 

order name of the 

natural person 

reportable 

account owner 

cftcBatch/cftcForm102/relat

edEntity@firstName

35. Consolidated 

Account 

Owner 

Question 3iii Conditional. 

Required if 

information 

Middle name of 

the natural 

person reportable 

cftcBatch/cftcForm102/relat

edEntity@middleName
June 30, 2014 Page 143 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Middle 

Name

available AND

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

account owner

36. Consolidated 

Account 

Owner 

Suffix

Question 3iii Conditional. 

Required if 

information 

available AND

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Suffix of the 

natural person 

reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@nameSuffix

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

37. Consolidated

Account 

Question 3iii Conditional. 

Required if 

Street address of 

the reportable 

cftcBatch/cftcForm102/relat

edEntity@street
June 30, 2014 Page 144 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Owner Street 

Address

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

account owner

38. Consolidated 

Account 

Owner Suite

Question 3iii Conditional. 

Required if 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Suite of the 

reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@suite

39. Consolidated

Account 

Owner City

Question 3iii Conditional. 

Required if 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

City of the 

reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@city

40. Consolidated

Account 

Owner State

Question 3iii Conditional. 

Required if 

isOmnibus=‘N’

ISO 3166-2 

geopolitical 

subdivision code; 

cftcBatch/cftcForm102/relat

edEntity@state
June 30, 2014 Page 145 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

1-3 alphanumeric 

characters

41. Consolidated

Account 

Owner 

Country

Question 3iii Conditional. 

Required if 

isOmnibus=‘N’

AND

isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@country

42. Consolidated

Account 

Owner 

Zip/Postal 

Code

Question 3iii Conditional. 

Required if 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Zip/Postal code 

of the reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@postalCode

43. Consolidated

Account 

Owner 

Phone 

Question 3iii Conditional. 

Required if 

isOmnibus=‘N’

AND

Phone Number 

of the reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@telephone
June 30, 2014 Page 146 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Number isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

IF CONSOLIDATED ACCOUNT OWNER IS A NATURAL PERSON

44. Consolidated

Account 

Owner Email 

Address

Question 3iii Conditional. 

Required if 

isOmnibus=‘N’

AND

isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Email address of 

the reportable 

account owner

cftcBatch/cftcForm102/relat

edEntity@email

IF CONSOLIDATED ACCOUNT OWNER IS A LEGAL ENTITY

45. Consolidated

Account 

Owner 

Contact Last 

Name

Question 3iii Conditional. 

Required if 

isOmnibus=‘N’

AND

isOwner=‘Y’

AND 

Surname of the 

contact person 

for the owner 

cftcBatch/cftcForm102/relat

edEntity/contact@lastName
June 30, 2014 Page 147 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

46. Consolidated

Account 

Owner 

Contact First 

Name

Question 3iii Conditional. 

Required if 

isOmnibus=‘N’

AND

isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

First name of the 

contact person 

for the owner

cftcBatch/cftcForm102/relat

edEntity/contact@firstName

47. Consolidated 

Account 

Owner 

Contact 

Middle 

Name

Question 3iii Conditional. 

Required if 

information 

available AND

isOmnibus=‘N’

AND

isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Middle name of 

the contact

person for the 

owner

cftcBatch/cftcForm102/relat

edEntity/contact@middleNa

me
June 30, 2014 Page 148 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Reported=‘N’

48. Consolidated 

Account 

Owner 

Contact 

Suffix

Question 3iii Conditional. 

Required if 

information 

available AND

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Suffix of the 

contact person 

for the owner

cftcBatch/cftcForm102/relat

edEntity/contact@nameSuffi

x

49. Consolidated

Account 

Owner 

Contact Job 

Title

Question 3iii Conditional. 

Required if 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Job title of the 

contact person 

for the ownership 

entity

cftcBatch/cftcForm102/relat

edEntity/contact@titleOrPos

ition
June 30, 2014 Page 149 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

50. Contact 

Relationship 

to 

Consolidated

Account 

Owner

Question 3iii Conditional. 

Required if 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Contact 

relationship to 

the ownership 

entity

cftcBatch/cftcForm102/relat

edEntity/contact@relationsh

ip

51. Consolidated

Account 

Owner 

Contact 

Phone 

Number

Question 3iii Conditional. 

Required if 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Phone number of 

the contact 

person for the 

ownership entity 

cftcBatch/cftcForm102/relat

edEntity/contact@telephone

52. Consolidated

Account 

Owner 

Contact 

Email 

Address

Question 3iii Conditional. 

Required if 

isOmnibus=‘N’

AND

isOwner=‘Y’

AND 

Email address of 

the contact 

person for the 

ownership entity 

cftcBatch/cftcForm102/relat

edEntity/contact@email
June 30, 2014 Page 150 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

53. Consolidated

Account 

Owner 

Website

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

URL of the 

owner’s website

cftcBatch/cftcForm102/relat

edEntity@website

54. Consolidated

Account 

Owner NFA 

ID

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND

isOwner=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

The 

identification 

number given to 

the ownership 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/relat

edEntity@NFAIdentifier
June 30, 2014 Page 151 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

55. Consolidated

Account 

Owner Legal 

Entity 

Identifier 

(LEI)

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND

OptionalOrSupp

FieldsSeparately

Reported =‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

ownership entity 

by the LEI issuer

cftcBatch/cftcForm102/relat

edEntity@legalEntityIdentifi

er

CONSOLIDATED ACCOUNT CONTROLLER(S)

56. Consolidated 

Account 

Controller 

Indicator

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’ 

THEN 

isController=‘Y’

Indicates 

reporting 

Consolidated 

account 

Controller

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edEntity@isController

57. Consolidated 

Account 

Controller 

Entity Type

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

LE = Legal Entity

NP = Natural 

Person

cftcBatch/cftcForm102/relat

edEntity@entityType

58. Consolidated 

Account 

Controller 

Optional 

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’

AND 

Indicates that one 

or more 

“Optional Fields” 

or “Supplemental 

Y = Yes

N = No

cftcBatch/cftcForm102/relat

edEntity@OptionalOrSuppF

ieldsSeparatelyReported
June 30, 2014 Page 152 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Fields or 

Supplementa

l Fields 

Reported to 

LEI Provider

isController=‘Y’ Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with 

the LEI provided 

in this 

submission

IF CONSOLIDATED ACCOUNT CONTROLLER IS A LEGAL ENTITY

59. Consolidated

Account 

Controller 

Legal Entity 

Name

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’

AND 

isController=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Legal or 

registered name 

of the reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@legalEntityName

IF CONSOLIDATED ACCOUNT CONTROLLER IS A NATURAL PERSON
June 30, 2014 Page 153 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

60. Consolidated

Account 

Controller 

Natural 

Person Last 

Name

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Surname of the 

natural person 

reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@lastName

61. Consolidated

Account 

Controller 

Natural 

Person First 

Name

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Given or first in 

order name of the 

natural person 

reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@firstName

62. Consolidated

Account 

Controller 

Natural 

Person 

Middle 

Name

Question 3iv Conditional. 

Required if 

information 

available AND

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

OptionalOrSupp

FieldsSeparately

cftcBatch/cftcForm102/relat

edEntity@middleName
June 30, 2014 Page 154 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Reported=‘N’

63. Consolidated

Account 

Controller 

Natural 

Person 

Suffix

Question 3iv Conditional. 

Required if 

information 

available 

ANDisOmnibus=

‘N’ AND 

isController=‘Y’ 

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

cftcBatch/cftcForm102/relat

edEntity@nameSuffix

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

64. Consolidated

Account 

Controller 

Street 

Address

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Street address of 

the reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@street

65. Consolidated

Account 

Controller 

Question 3iv Conditional. 

Required if 

information 

Suite of the 

reportable 

account 

cftcBatch/cftcForm102/relat

edEntity@suite
June 30, 2014 Page 155 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Suite available AND

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Controller

66. Consolidated

Account 

Controller 

City

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

City of the 

reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@city

67. Consolidated

Account 

Controller 

State

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/relat

edEntity@state
June 30, 2014 Page 156 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

68. Consolidated

Account 

Controller 

Country

Question 3iv Conditional. 

Required if

isOmnibus=‘N’ 

AND 

isController=‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm102/relat

edEntity@country

69. Consolidated

Account 

Controller 

Zip/Postal 

Code

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Zip/Postal code 

of the reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@postalCode

70. Consolidated

Account 

Controller 

Phone 

Number

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Phone Number 

of the reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@telephone

71. Consolidated

Account 

Controller 

Email 

Address

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

Email address of 

the reportable 

account 

Controller

cftcBatch/cftcForm102/relat

edEntity@email
June 30, 2014 Page 157 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

IF CONSOLIDATED ACCOUNT CONTROLLER IS A LEGAL ENTITY

72. Consolidated

Account 

Controller 

Contact Last 

Name

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’

AND 

isController=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Surname of the 

contact person 

for the owner

cftcBatch/cftcForm102/relat

edEntity/contact@lastName

73. Consolidated

Account 

Controller 

Contact First 

Name

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’

AND 

isController =‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSupp

FieldsSeparately

First name of the 

contact person 

for the owner

cftcBatch/cftcForm102/relat

edEntity/contact@firstName
June 30, 2014 Page 158 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Reported=‘N’

74. Consolidated 

Account 

Controller 

Contact 

Middle 

Name

Question 3iv Conditional. 

Required if 

information 

available 

ANDisOmnibus=

‘N’ AND 

isController =‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Middle name of 

the contact 

person for the 

owner

cftcBatch/cftcForm102/relat

edEntity/contact@middleNa

me

75. Consolidated 

Account 

Controller 

Contact 

Suffix

Question 3iv Conditional. 

Required if 

information 

available 

ANDisOmnibus=

‘N’ AND 

isController =‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSupp

FieldsSeparately

Suffix of the 

contact person 

for the owner

cftcBatch/cftcForm102/relat

edEntity/contact@nameSuffi

x
June 30, 2014 Page 159 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Reported=‘N’

76. Consolidated

Account 

Controller 

Contact Job 

Title

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’

AND 

isController =‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Job title of the 

contact person at 

or related to the 

controller entity

cftcBatch/cftcForm102/relat

edEntity/contact@titleOrPos

ition

77. Contact 

Relationship 

to 

Consolidated

Account 

Controller

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’

AND 

isController =‘Y’ 

AND 

entityType=‘LE’ 

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Contact 

relationship to 

controller entity

cftcBatch/cftcForm102/relat

edEntity/contact@relationsh

ip

78. Consolidated

Account 

Controller 

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’

Phone number of 

the contact 

person for the 

cftcBatch/cftcForm102/relat

edEntity/contact@telephone
June 30, 2014 Page 160 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Contact 

Phone 

Number

AND 

isController =‘Y’ 

AND 

entityType=‘LE’ 

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

controller entity 

79. Consolidated

Account 

Controller 

Contact 

Email 

Address

Question 3iv Conditional. 

Required if 

isOmnibus=‘N’

AND 

isController =‘Y’ 

AND 

entityType=‘LE’ 

AND 

OptionalOrSupp

FieldsSeparately

Reported=‘N’

Email address of 

the contact 

person for the 

controller entity 

cftcBatch/cftcForm102/relat

edEntity/contact@email

80. Consolidated

Account 

Controller 

NFA ID

Question 3iv Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND 

isController =‘Y’

AND 

OptionalOrSupp

The 

identification 

number given to 

the controller

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/relat

edEntity@NFAIdentifier
June 30, 2014 Page 161 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

FieldsSeparately

Reported=‘N’

81. Consolidated

Account 

Controller 

Legal Entity 

Identifier 

(LEI)

Question 3iv Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND 

isController =‘Y’

AND

OptionalOrSupp

FieldsSeparately

Reported =‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

controller entity 

by the LEI issuer

cftcBatch/cftcForm102/relat

edEntity@legalEntityIdentifi

er

82. Paired Swap 

Indicator

Question 4 Yes Indicates if 

response is 

related to paired 

swap activity

cftcBatch/cftcForm102/paire

dSwapOrSwaptionActivity

@isSwap

83. Paired 

Swaption 

Indicator

Question 4 Yes Indicates if 

response is 

related to paired 

swaption activity

cftcBatch/cftcForm102/paire

dSwapOrSwaptionActivity

@isSwaption

84. Paired Swaps 

and 

Swaptions 

Market 

Activity

Question 4 Yes Description of 

the nature of the 

counterparty’s or 

customer’s 

paired swaps and 

cftcBatch/cftcForm102/paire

dSwapOrSwaptionActivity

@description
June 30, 2014 Page 162 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

swaptions market 

activity

85. Reporting 

Firm 

Authorizatio

n Indicator

Signature/Authent

ication

Yes Indicates if the 

submitter is duly 

authorized by the 

reporting firm to 

provide the 

information and 

representations 

submitted on this 

Form 102, and 

that information 

and 

representations 

are true and 

correct

Y = authorized

N = not authorized

cftcBatch/cftcForm102/cont

act@isAuthorizedRepresent

ative

86. Authorized 

Representati

ve Last 

Name

Signature/Authent

ication

Yes Surname of the 

authorized 

representative

cftcBatch/cftcForm102/cont

act@lastName

87. Authorized 

Representati

ve First 

Name

Signature/Authent

ication

Yes Given or first in 

order name of the 

authorized 

representative

cftcBatch/cftcForm102/cont

act@firstName

88. Authorized 

Representati

ve Middle 

Signature/Authent

ication

Yes Middle name of 

the authorized 

representative

cftcBatch/cftcForm102/cont

act@middleName
June 30, 2014 Page 163 of 273

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Name

89. Authorized 

Representati

ve Name 

Suffix

Signature/Authent

ication

Yes Generation or 

name suffix of 

the authorized 

representative

cftcBatch/cftcForm102/cont

act@nameSuffix

90. Authorized 

Representati

ve Position

Signature/Authent

ication

Yes Job position of 

the authorized 

representative

cftcBatch/cftcForm102/cont

act@titleOrPosition

91. Authorized 

Representati

ve Submitted 

on behalf of

Signature/Authent

ication

Yes Reporting Firm 

Name 102 was 

submitted on 

behalf of

cftcBatch/cftcForm102@on

BehalfOf

92. Date of 

Submission

Signature/Authent

ication

Yes Date [indicated 

by the authorized 

representative] 

that the form was 

submitted to 

CFTC

cftcBatch/cftcForm102@sub

mitDate
June 30, 2014 Page 164 of 273

Data Dictionary for Form 71 – Identification of omnibus accounts and sub-accounts19

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

1. Form 

Number

Yes 71 cftcBatch/cftcForm71@for

mNumber

2. Acknowledg

ement of 

Definitions 

Indicator

Acknowledgemen

t of Definitions

Yes Indicates whether 

the submitter 

acknowledged 

reading a list of 

terms used in the 

form

Y = Yes

N = No

cftcBatch/cftcForm71@ackn

owledgeDefinitions

3. New/Modifie

d/Correction 

Indicator

Yes Indicates whether 

the omnibus 

account is:

 New and 

being 

reported 

for the 

first time 

on a Form 

71

 Modified 

-

N = new

M = modified

C = corrected

cftcBatch/cftcForm71@info

rmationType

 

19 When reviewing the data elements in this Technical Document, reporting parties should also review and consult the OCR Final Rule, including 

the requirements of the reporting forms attached as an appendix thereto. The reporting forms are the basis for these data elements. Reporting 

parties should visit this link to view the OCR Final Rule on the Federal Register: https://www.federalregister.gov/articles/2013/11/18/2013-

26789/ownership-and-control-reports-forms-102102s-4040s-and-71

Visit this link to view a pdf copy of the OCR Final Rule: http://www.cftc.gov/ucm/groups/public/@lrfederalregister/documents/file/2013-

26789a.pdf
June 30, 2014 Page 165 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

previousl

y reported 

on a Form 

71 and 

being resubmitted 

because

somethin

g has 

changed

 Corrected 

- being 

reported 

in order 

to correct 

previousl

ysubmitted 

erroneous 

data

4. Account 

Number20

Section A Yes Account number 

of the omnibus 

volume threshold 

account (from 

cftcBatch/cftcForm71@acco

untNumber

 

20 For all fields in section A and B of Form 71 that are marked as auto-populated in the reporting forms that appear as an appendix to the OCR 

Final Rule, the CFTC will provide these fields to FTP-based reporting parties in an email or other transmission. Reporting parties should 

incorporate these fields in their FTP submission.
June 30, 2014 Page 166 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Form 102B) or 

omnibus 

reportable subaccount (from 

Form 71) as 

identified on the 

referenced forms

5. Form Type

Origination

Section A Yes Form type of the 

form which 

identified the 

omnibus volume 

threshold account 

(Form 102B) or 

omnibus 

reportable subaccount (Form 

71)

102B = Form 102B

71 = Form 71

cftcBatch/cftcForm71@origi

nalFormNumber

6. Name of 

Identifying 

Entity

Section A Yes Name of the 

clearing member 

(if Form 102B) 

or preceding 

originator (if 

Form 71) that 

identified the 

omnibus volume 

threshold account 

or omnibus 

reportable subaccount, 
June 30, 2014 Page 167 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

respectively

7. Reporting 

Market

Section A Yes The reporting 

contract market 

on which the 

identified 

account is traded

cftcBatch/cftcForm71@mar

ketId

8. Entity Type 

Indicator

Section A Yes LE=Legal Entity cftcBatch/cftcForm71@entit

yType

9. Name of 

Originator

Section A Yes cftcBatch/cftcForm71@lega

lEntityName

10. Originator 

Street 

Address 

Section A Yes Street Address of 

the omnibus 

account 

originator as 

indicated on the 

Form 102B or 

Form 71

cftcBatch/cftcForm71@stree

t

11. Originator 

Suite

Section A Conditional. 

Required if 

information 

available

cftcBatch/cftcForm71@suite

12. Originator 

City

Section A Yes City of the 

omnibus account 

originator as 

indicated on the 

Form 102B or 

Form 71

cftcBatch/cftcForm71@city
June 30, 2014 Page 168 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

13. Originator 

State

Section A Yes ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters as 

indicated on the 

Form 102B or

Form 71

cftcBatch/cftcForm71@state

14. Originator 

Country 

Section A Yes ISO 3166-1 

alpha-2 country 

code as indicated 

on the Form 

102B or Form 71

cftcBatch/cftcForm71@cou

ntry

15. Originator 

Zip/Postal 

Code

Section A Yes Zip Code or 

Postal Code of 

the omnibus 

account 

originator as 

indicated on the 

Form 102B or 

Form 71

cftcBatch/cftcForm71@post

alCode

16. Originator 

Phone 

Number

Section A Yes Phone Number of 

the omnibus 

account 

originator as 

indicated on the 

Form 102B or 

Form 71

cftcBatch/cftcForm71@tele

phone
June 30, 2014 Page 169 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

17. Originator 

Contact Last 

Name

Section A Yes Contact surname 

for the omnibus 

account 

originator as 

indicated on the 

Form 102B or 

Form 71

cftcBatch/cftcForm71/conta

ct@lastName

18. Originator 

Contact 

Middle 

Name

Section A Conditional. 

Required if 

information 

available

cftcBatch/cftcForm71/conta

ct@middleName

19. Originator 

Contact First 

Name

Section A Yes Contact first in 

order name for 

the omnibus 

account 

originator as 

indicated on the 

Form 102B or 

Form 71

cftcBatch/cftcForm71/conta

ct@firstName

20. Originator 

Contact 

Suffix

Section A Conditional. 

Required if 

information 

available

cftcBatch/cftcForm71/conta

ct@nameSuffix

21. Originator 

Contact Job 

Title

Section A Yes Job Title of the 

Contact for the 

omnibus account 

originator as 

indicated on the 

Form 102B or 

cftcBatch/cftcForm71/conta

ct@titleOrPosition
June 30, 2014 Page 170 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Form 71

22. Contact 

Relationship 

to Originator

Section A Yes Contact 

relationship to 

the originator

cftcBatch/cftcForm71/conta

ct@relationship

23. Originator 

Contact 

Phone 

Number

Section A Yes Phone Number of 

the Contact for 

the omnibus 

account 

originator as 

indicated on the 

Form 102B or 

Form 71

cftcBatch/cftcForm71/conta

ct@telephone

24. Originator 

Contact 

Email 

Address

Section A Yes Email Address of 

the Contact for 

the omnibus 

account 

originator as 

indicated on the 

Form 102B or 

Form 71

cftcBatch/cftcForm71/conta

ct@email

25. Originator 

Website 

Section A Conditional. 

Required if 

information 

available

URL of the 

website of the 

omnibus account 

originator

cftcBatch/cftcForm71 

@website

26. Originator 

NFA ID 

Section A Conditional. 

Required if 

information 

available

The identification 

number given to 

the originator by 

the National 

cftcBatch/cftcForm71@NF

AIdentifier
June 30, 2014 Page 171 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Futures 

Association

27. Originator 

Legal Entity 

Identifier 

(LEI)

Section A Conditional. 

Required if 

information 

available

The legal entity 

identifier (LEI) 

assigned to the 

originator by the 

LEI issuer

cftcBatch/cftcForm71 

@legalEntityIdentifier

28. Allocation of 

Trades 

Indicator

Section B –

Question 1

Yes Indicates if the 

originator 

allocated trades 

from the 

specified 

omnibus account 

on the specified 

date on the 

specified 

reporting market

Y = trades were 

allocated 

N = trades were not 

allocated

cftcBatch/cftcForm71 

@tradesAllocated

29. Sum of 

Allocations 

Reportable 

Trading 

Volume for 

Recipient 

Account 

Indicator

Section B –

Question 2

Yes For cases where 

trades were 

allocated, 

indicates whether 

the sum of 

allocations 

resulted in 

reportable trading 

volume for a 

recipient account 

on the specified 

date on the 

Y = resulted in 

reportable trading 

volume 

N = did not result 

in reportable 

trading volume

cftcBatch/cftcForm71 

@isReportable
June 30, 2014 Page 172 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

specified 

reporting market

REPORTABLE SUB-ACCOUNT OWNERSHIP AND CONTROL INFORMATION

OMNIBUS REPORTABLE SUB-ACCOUNT INFORMATION

30. Reportable 

Sub-Account 

Number

Question 3 Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’

cftcBatch/cftcForm71/relate

dAccount@accountNumber

31. Reportable 

Sub-Account 

Omnibus 

Account 

Indicator

Question 3ai Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’

Is the Reportable 

Sub-Account an 

omnibus account

Y = Yes

N = No

cftcBatch/cftcForm71/relate

dAccount@isOmnibus

32. House or 

Customer 

Indicator

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’

If the reported 

Reportable SubAccount is being 

reported as an 

Omnibus 

Account indicate 

whether the 

Reportable SubAccount 

Omnibus 

Account is a 

H = House

C = Customer

cftcBatch/ 

cftcForm71/relatedAccount

@accountClass
June 30, 2014 Page 173 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

house or 

customer account 

of the reporting 

firm

33. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Indicator

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’ 

THEN 

isOriginator = 

‘Y’

Indicates 

reporting Volume 

Threshold 

Account 

Omnibus 

Account 

orginiator

Y = Yes

N = No

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity@isOriginator

34. Reportable 

Sub-Account 

Omnibus 

Account 

Entity Type

Question 3aii Yes LE=Legal Entity cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity@entityType

35. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Name

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’

Name of the 

reportable 

account 

Originator 

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity@legalEntityN

ame

36. Reportable 

Sub-Account 

Omnibus 

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

Street address of 

the reportable 

account 

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity@street
June 30, 2014 Page 174 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Account 

Originator 

Street 

Address

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’

Originator

37. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Suite

Question 3aii Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity@suite

38. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

City

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’

City of the 

reportable 

account 

Originator

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity@city

39. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

State

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity@state

40. Reportable 

Sub-Account 

Question 3aii Conditional. 

Required if 

ISO 3166-1 

alpha-2 country 

cftcBatch/ 

cftcForm71/relatedAccount/
June 30, 2014 Page 175 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Omnibus 

Account 

Originator 

Country

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’

code relatedEntity@country

41. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Zip/Postal 

Code

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’

Zip/Postal code 

of the reportable 

account 

Originator

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity@postalCode

42. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Phone 

Number

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’

Phone Number of 

the reportable 

account 

Originator

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity@telephone

43. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Contact Last 

Name

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’ 

AND 

entityType=‘LE’

Surname of the 

contact person 

for the Originator 

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity/contact@lastN

ame
June 30, 2014 Page 176 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

44. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Contact First 

Name

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’ 

AND 

entityType=‘LE’

First name of the 

contact person 

for the Originator

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity/contact@firstN

ame

45. Reportable 

Sub-Account 

Omnibus 

Account 

Contact 

Middle 

Name

Question 3aii Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’ 

AND 

entityType=‘LE’

Middle name of 

the contact 

person for the 

Originator

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity/contact@middl

eName

46. Reportable 

Sub-Account 

Omnibus 

Account 

Contact 

Suffix

Question 3aii Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’ 

Suffix of the 

contact person 

for the Originator

cftcBatch/cftcForm102/relat

edAccount/relatedEntity/con

tact@nameSuffix
June 30, 2014 Page 177 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

entityType=‘LE’

47. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Contact Job 

Title

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’ 

AND 

entityType=‘LE’

Job title of the 

contact person 

for the Originator 

entity

cftcBatch/cftcForm102/relat

edAccount/relatedEntity/con

tact@titleOrPosition

48. Contact 

Relationship 

to Reportable 

Sub-Account 

Omnibus 

Account 

Originator

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’ 

AND 

entityType=‘LE’

Contact 

relationship to 

the Originator 

entity

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity/contact@relati

onship

49. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Contact 

Phone 

Number

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’ 

AND 

entityType=‘LE’

Phone number of 

the contact 

person for the 

Originator entity 

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity/contact@telep

hone
June 30, 2014 Page 178 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

50. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Contact 

Email 

Address

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’

AND 

entityType=‘LE’

Email address of 

the contact 

person for the 

Originator entity 

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity/contact@email

51. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Website

Question 3aii Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’

AND 

entityType=‘LE’

URL of the 

Originator’s 

website

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity@website

52. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

NFA ID

Question 3aii Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’

The identification 

number given to 

the Originator 

entity by the 

National Futures 

Association

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity@NFAIdentifie

r
June 30, 2014 Page 179 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

53. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Legal Entity 

Identifier 

(LEI)

Question 3aii Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus =‘Y’

The legal entity 

identifier (LEI)

assigned to the 

Originator entity 

by the LEI issuer

cftcBatch/ 

cftcForm71/relatedAccount/

relatedEntity@legalEntityId

entifier

NON-OMNIBUS REPORTABLE SUB-ACCOUNT OWNER(S)

54. Reportable 

Sub-Account 

Owner 

Indicator

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

THEN 

isOwner=‘Y’

Indicates 

reporting 

Reportable SubAccount account 

owner

Y = Yes

N = No

cftcBatch/ cftcForm71/ 

relatedAccount/relatedEntity

@isOwner

55. Reportable 

Sub-Account 

Owner Type 

Indicator

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

Indicates whether 

the Reportable 

Sub-Account 

owner is a legal 

entity or natural 

LE = Legal Entity 

NP = Natural 

Person

cftcBatch/ cftcForm71/ 

relatedAccount/relatedEntity

@entityType
June 30, 2014 Page 180 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

person

IF REPORTABLE SUB-ACCOUNT OWNER IS A LEGAL ENTITY

56. Reportable 

Sub-Account 

Owner Legal 

Entity Name

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

Legal or 

registered name 

of the reportable 

sub-account

owner

cftcBatch/ cftcForm71/ 

relatedAccount/relatedEntity

@legalEntityName

IF REPORTABLE SUB-ACCOUNT OWNER IS A NATURAL PERSON

57. Reportable 

Sub-Account 

Owner Last 

Name

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

Surname of the 

natural person 

reportable subaccount owner 

cftcBatch/ cftcForm71/ 

relatedAccount/relatedEntity

@lastName
June 30, 2014 Page 181 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isOwner=‘Y’

AND 

entityType=‘NP’

58. Reportable 

Sub-Account 

Owner First 

Name

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘NP’

Given or first in 

order name of the 

natural person 

reportable subaccount owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@firstName

59. Reportable 

Sub-Account 

Owner 

Middle 

Name

Question 3bi Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘NP’

Middle name of 

the natural 

person reportable 

sub-account

owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@middleName
June 30, 2014 Page 182 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

60. Reportable 

Sub-Account 

Owner 

Suffix

Question 3bi Conditional. 

Required if 

information 

available 

ANDisReportabl

e=‘Y’ AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘NP’

Suffix of the 

natural person 

reportable subaccount owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@nameSuffix

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

61. Reportable 

Sub-Account 

Owner Street 

Address

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

Street address of 

the reportable 

sub-account 

owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@street

62. Reportable 

Sub-Account 

Owner Suite

Question 3bi Conditional. 

Required if 

information 

available 

ANDisReportabl

Suite of the 

reportable subaccount owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@suite
June 30, 2014 Page 183 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

e=‘Y’ AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

63. Reportable 

Sub-Account 

Owner City

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

City of the 

reportable subaccount owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@city

64. Reportable 

Sub-Account 

Owner State

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@state

65. Reportable 

Sub-Account 

Owner 

Country

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@country
June 30, 2014 Page 184 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

66. Reportable 

Sub-Account 

Owner 

Zip/Postal 

Code

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

Zip/Postal code 

of the reportable 

sub-account 

owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@postalCode

67. Reportable 

Sub-Account 

Owner 

Phone 

Number

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

Phone Number of 

the reportable 

sub-account 

owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@telephone

IF REPORTABLE SUB-ACCOUNT OWNER IS A NATURAL PERSON

68. Reportable 

Sub-Account 

Owner Email 

Address

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

Email address of 

the reportable 

sub-account 

owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@email
June 30, 2014 Page 185 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

IF REPORTABLE SUB-ACCOUNT OWNER IS A LEGAL ENTITY

69. Reportable 

Sub-Account 

Owner 

Contact Last 

Name

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

Surname of the 

contact person 

for the owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

/contact@lastName

70. Reportable 

Sub-Account 

Owner 

Contact First 

Name

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

First name of the 

contact person 

for the owner 

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

/contact@firstName
June 30, 2014 Page 186 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

71. Reportable 

Sub-Account 

Owner 

Contact 

Middle 

Name

Question 3bi Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

Middle name of 

the contact 

person for the 

owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

/contact@middleName

72. Reportable 

Sub-Account 

Owner 

Contact 

Suffix

Question 3bi Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

Suffix of the 

contact person 

for the owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

/contact@nameSuffix

73. Reportable 

Sub-Account 

Owner 

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

Job title of the 

contact person 

for the ownership 

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

/contact@titleOrPosition
June 30, 2014 Page 187 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Contact Job 

Title

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

entity

74. Contact 

Relationship 

to Reportable 

Sub-Account 

Owner

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

Contact 

relationship to 

the ownership 

entity

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

/contact@relationship

75. Reportable 

Sub-Account 

Owner 

Contact 

Phone 

Number

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

Phone number of 

the contact 

person for the 

ownership entity 

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

/contact@telephone
June 30, 2014 Page 188 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

entityType=‘LE’

76. Reportable 

Sub-Account 

Owner 

Contact 

Email 

Address

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

Email address of 

the contact 

person for the 

ownership entity 

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

/contact@email

77. Reportable 

Sub-Account 

Owner 

Website

Question 3bi Conditional. 

Required if 

information 

available AND

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

AND 

entityType=‘LE’

URL of the 

owner’s website

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@website

78. Reportable 

Sub-Account 

Owner NFA 

Question 3bi Conditional. 

Required if 

information 

The identification 

number given to 

the ownership 

cftcBatch/cftcForm71/

relatedAccount/relatedEntity

@NFAIdentifier
June 30, 2014 Page 189 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ID available AND

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

entity by the 

National Futures 

Association

79. Reportable 

Sub-Account 

Owner Legal 

Entity 

Identifier 

(LEI)

Question 3bi Conditional. 

Required if 

information 

available AND

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isOwner=‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

ownership entity 

by the LEI issuer

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@legalEntityIdentifier

NON-OMNIBUS REPORTABLE SUB-ACCOUNT CONTROLLER(S)

80. Reportable 

Sub-Account 

Controller 

Indicator

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

THEN 

Indicates 

reportable subaccount 

controller

Y = Yes

N = No

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@isController
June 30, 2014 Page 190 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isController=‘Y’

81. Reportable 

Sub-Account 

Controller 

Entity Type

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

THEN 

entityType=‘NP’

Reportable subaccount 

controller entity 

type

NP = Natural 

Person

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@entityType

82. Reportable 

Sub-Account 

Controller 

Natural 

Person Last 

Name

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

Surname of the 

natural person 

reportable subaccount 

Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@lastName

83. Reportable 

Sub-Account 

Controller 

Natural 

Person First 

Name

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

Given or first in 

order name of the 

natural person 

reportable subaccount 

Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@firstName
June 30, 2014 Page 191 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isOmnibus=‘N’

AND 

isController=‘Y’

84. Reportable 

Sub-Account 

Controller 

Natural 

Person 

Middle 

Name

Question 3bii Conditional. 

Required if 

information 

available AND

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

Middle name of 

the natural 

person reportable 

sub-account 

Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@middleName

85. Reportable 

Sub-Account 

Controller 

Natural 

Person 

Suffix

Question 3bii Conditional. 

Required if 

information 

available AND

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

Suffix of the 

natural person 

reportable subaccount 

Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@nameSuffix

86. Reportable 

Sub-Account 

Controller 

Street 

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

Street address of 

the reportable 

sub-account 

Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@street
June 30, 2014 Page 192 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Address tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

87. Reportable 

Sub-Account 

Controller 

Suite

Question 3bii Conditional. 

Required if 

information 

available AND

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

Suite of the 

reportable subaccount 

Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@suite

88. Reportable 

Sub-Account 

Controller 

City

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

City of the 

reportable subaccount 

Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@city

89. Reportable 

Sub-Account 

Controller 

State

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@state
June 30, 2014 Page 193 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

characters

90. Reportable 

Sub-Account 

Controller 

Country

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@country

91. Reportable 

Sub-Account 

Controller 

Zip/Postal 

Code

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

Zip/Postal code 

of the reportable 

sub-account 

Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@postalCode

92. Reportable 

Sub-Account 

Controller 

Phone 

Number

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

Phone Number of 

the reportable 

sub-account 

Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@telephone
June 30, 2014 Page 194 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isOmnibus=‘N’

AND 

isController=‘Y’

93. Reportable 

Sub-Account 

Controller 

Name of 

Employer

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@employerName

94. Reportable 

Sub-Account 

Controller 

Job Title

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

Job title of the 

contact person 

for the Controller 

entity

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@titleOrPosition

95. Relationship 

to Reportable 

Sub-Account 

Owner

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

Contact 

relationship to 

the Owner entity

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@relationship
June 30, 2014 Page 195 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isController=‘Y’

96. Reportable 

Sub-Account 

Controller 

Email 

Address

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

Email address of 

the reportable 

sub-account 

Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@email

97. Reportable 

Sub-Account 

Controller 

NFA ID

Question 3bii Conditional. 

Required if 

information 

available AND

isReportable=‘Y’ 

AND 

tradesAllocated=

‘Y’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

The identification 

number given to 

the Controller 

entity by the 

National Futures 

Association

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@NFAIdentifier

98. Originator 

Authorizatio

n Indicator

Section C Yes Indicates if the 

submitter is duly 

authorized by the 

relevant 

originator (as 

specified on the 

Form 102B or 

Y = authorized

N = not authorized

cftcBatch/cftcForm71/conta

ct@isAuthorizedRep
June 30, 2014 Page 196 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Form 71), to 

provide the 

information and 

representations 

submitted on this 

Form 71, and that 

information and 

representations 

are true and 

correct

99. Authorized 

Representati

ve Last 

Name

Section C Yes Surname of the 

authorized 

representative

cftcBatch/cftcForm71/conta

ct@lastName

100. Authorized 

Representati

ve First 

Name

Section C Yes Given or first in 

order name of the 

authorized 

representative

cftcBatch/cftcForm71/conta

ct@firstName

101. Authorized 

Representati

ve Middle 

Name

Section C Yes Middle name of 

the authorized 

representative

cftcBatch/cftcForm71/conta

ct@middleName

102. Authorized 

Representati

ve Name 

Suffix

Section C Yes Generation or 

name suffix of 

the authorized 

representative

cftcBatch/cftcForm71/conta

ct@nameSuffix

103. Authorized 

Representati

ve Position

Section C Yes Job position of 

the authorized 

representative

cftcBatch/cftcForm71/conta

ct@titleOrPosition
June 30, 2014 Page 197 of 273

Data 

Element

Form 71 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

104. Date of 

Submission

Section C Yes Date [indicated 

by the authorized 

representative] 

that the form was 

submitted to 

CFTC

cftcBatch/cftcForm71@sub

mitDate

Data Dictionary for Form 40 – Statement of reporting trader21

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

1. Form 

Number

Yes 40 cftcBatch/cftcForm40@form

Number

2. Acknowledg

ement of 

Definitions 

Indicator

Section –

Acknowledgemen

t of Definitions

Yes Indicates whether 

the submitter 

acknowledged 

reading a list of 

terms used in the 

form

Y = Yes

N = No

cftcBatch/cftcForm40@ackn

owledgeDefinitions

 

21 When reviewing the data elements in this Technical Document, reporting parties should also review and consult the OCR Final Rule, including 

the requirements of the reporting forms attached as an appendix thereto. The reporting forms are the basis for these data elements. Reporting 

parties should visit this link to view the OCR Final Rule on the Federal Register: https://www.federalregister.gov/articles/2013/11/18/2013-

26789/ownership-and-control-reports-forms-102102s-4040s-and-71

Visit this link to view a pdf copy of the OCR Final Rule: http://www.cftc.gov/ucm/groups/public/@lrfederalregister/documents/file/2013-

26789a.pdf
June 30, 2014 Page 198 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

3. New/Modifie

d/Correction 

Indicator

Yes Indicates whether 

the reportable 

trader is:

 New and 

being 

reported 

for the 

first time 

on a 

Form 40

 Modified 

-

previousl

y reported 

on a 

Form 40 

and being 

resubmitted 

because 

somethin

g has 

changed

 Corrected 

- being 

reported 

in order 

to correct 

previousl

N = New

M = Modified

C = Corrected

cftcBatch/cftcForm40@infor

mationType
June 30, 2014 Page 199 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ysubmitted 

erroneous 

data

REPORTING TRADER CONTACT INFORMATION

4. Trader Type 

Indicator

Question 1 Yes Indicates whether 

the reporting 

trader is a legal 

entity or natural 

person

LE = Legal Entity

NP = Natural 

Person

cftcBatch/cftcForm40@entit

yType

IF REPORTING TRADER IS A LEGAL ENTITY

5. Legal Entity 

Name of 

Reporting 

Trader

Question 1 Conditional.

Required if 

entityType = 

‘LE’

The legal name 

of the reporting 

trader (if legal 

entity).

cftcBatch/cftcForm40@legal

EntityName

IF REPORTING TRADER IS A NATURAL PERSON

6. Last Name of 

Reporting 

Trader

Question 1 Conditional.

Required if 

entityType = 

‘NP’

Surname of the 

reporting trader 

cftcBatch/cftcForm40@last

Name

7. First Name 

of Reporting 

Trader

Question 1 Conditional.

Required if 

entityType = 

‘NP’

Given or first in 

order name of the 

reporting trader

cftcBatch/cftcForm40@first

Name
June 30, 2014 Page 200 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

8. Middle 

Name of 

Reporting 

Trader

Question 1 Conditional. 

Required if 

information 

available AND 

entityType = 

‘NP’

Middle name of 

the reporting 

trader 

cftcBatch/cftcForm40@mid

dleName

9. Name Suffix 

of the 

Reporting 

Trader

Question 1 Conditional. 

Required if 

information 

available AND 

entityType = 

‘NP’

Generational or 

name suffix of 

the reporting 

trader

cftcBatch/cftcForm40@nam

eSuffix

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

10. Street 

Address of 

Reporting 

Trader

Question 1 Yes The street 

address of the 

reporting trader

cftcBatch/cftcForm40@stree

t

11. Suite 

Number of 

Reporting 

Trader

Question 1 Conditional. 

Required if 

information 

available

The suite number 

of the reporting 

trader

cftcBatch/cftcForm40@suite

12. City of 

Reporting 

Trader

Question 1 Yes The city of the 

reporting trader

cftcBatch/cftcForm40@city

13. State of 

Reporting 

Trader

Question 1 Yes ISO 3166-2 

geopolitical 

subdivision code; 

cftcBatch/cftcForm40@state
June 30, 2014 Page 201 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

1-3 alphanumeric 

characters

14. Country of 

Reporting 

Trader

Question 1 Yes ISO 3166-1 

alpha-2 country

code

cftcBatch/cftcForm40@coun

try

15. Zip/Postal 

Code of 

Reporting 

Trader

Question 1 Yes The zip code or 

postal code of the 

reporting trader

cftcBatch/cftcForm40@post

alCode

16. Phone 

Number of 

Reporting 

Trader

Question 1 Yes The phone 

number of the 

reporting trader

cftcBatch/cftcForm40@telep

hone

17. Email 

Address of 

Reporting 

Trader

Question 1 Yes The email 

address of the 

reporting trader

cftcBatch/cftcForm40@emai

l

18. Website of 

Reporting 

Trader

Question 1 Conditional. 

Required if 

information 

available

The website of 

the reporting 

trader

cftcBatch/cftcForm40@web

site

19. NFA ID of 

Reporting 

Trader

Question 1 Conditional. 

Required if 

information 

available

The 

identification 

number given to 

the reporting 

trader by the 

National Futures 

Association

cftcBatch/cftcForm40@NF

AIdendtifier
June 30, 2014 Page 202 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

20. Legal Entity 

Identifier of 

Reporting 

Trader

Question 1 Conditional. 

Required if 

information 

available

The legal entity 

identifier (LEI) 

assigned to the 

reporting trader 

by the LEI issuer

cftcBatch/cftcForm40@legal

EntityIdentifier

21. Name of 

Reporting 

Trader’s 

Employer

Question 1 Yes The name of the 

trader’s employer

cftcBatch/cftcForm40@emp

loyerName

22. Reporting 

Trader’s 

Employer’s 

NFA ID

Question 1 Conditional. 

Required if 

information 

available

The 

identification 

number given to 

the reporting 

trader’s employer 

by the National 

Futures 

Association

cftcBatch/cftcForm40@emp

loyerNFAIdentifier

23. Reporting 

Trader’s 

Employer’s 

Legal Entity 

Identifier

Question 1 Conditional. 

Required if 

information 

available

The legal entity 

identifier (LEI) 

assigned to the 

reporting trader’s 

employer by the 

LEI issuer

cftcBatch/cftcForm40@emp

loyerLEI

CONTACT INFORMATION – DERIVATIVES TRADING CONTACT PERSON

24. Contact for 

Derivatives 

Trading of 

Reporting 

Question 2 Yes Indicates whether 

the contact 

information is 

regarding the 

Y = Yes

N = No

cftcBatch/CftcForm40/conta

ct@isDerivativesPOC
June 30, 2014 Page 203 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Trader derivatives 

trading of the 

reporting traders 

25. Individual to 

Contact 

Regarding 

Derivatives 

Trading has 

same 

information 

as Reporting 

Trader

Question 2 Yes Indicates whether 

the contact 

information for 

derivatives 

trading is the 

same as the 

reporting trader

Y = Yes

N = No

cftcBatch/CftcForm40/conta

ct@isSameAsReporter

26. Last Name of 

Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Yes Surname of the 

contact person 

for the reporting 

trader’s 

derivatives 

trading

cftcBatch/cftcForm40/contac

t@lastName

27. First Name 

of Contact 

for Reporting 

Trader’s 

Derivatives

Trading

Question 2 Yes Given or first in 

order name of the 

contact person 

for the reporting 

trader’s 

derivatives 

trading

cftcBatch/cftcForm40/contac

t@firstName

28. Middle 

Name of 

Contact for 

Reporting 

Question 2 Conditional. 

Required if 

information 

available

Middle name of 

the contact 

person for the 

reporting trader’s 

cftcBatch/cftcForm40/contac

t @middleName
June 30, 2014 Page 204 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Trader’s 

Derivatives 

Trading

derivatives 

trading

29. Name Suffix 

of Contact 

for Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Conditional. 

Required if 

information 

available

Suffix of the 

contact person 

for the reporting 

trader’s 

derivatives 

trading

cftcBatch/cftcForm40/contac

t@nameSuffix

30. Street 

Address of 

Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Yes Street Address of 

the contact 

person for the 

reporting trader’s 

derivatives 

trading

cftcBatch/cftcForm40/contac

t@street

31. Suite 

Number of 

Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Conditional. 

Required if 

information 

available

Suite number of 

the contact 

person for the 

reporting trader’s 

derivatives 

trading

cftcBatch/cftcForm40/contac

t@suite

32. City of 

Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Yes City of the 

contact person 

for the reporting 

trader’s 

derivatives 

trading

cftcBatch/cftcForm40/contac

t@city
June 30, 2014 Page 205 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

33. State of 

Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Yes ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/contac

t@state

34. Country of 

Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Yes ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/contac

t@country

35. Zip/Postal 

Code of 

Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Yes Zip Code or 

postal code of the 

contact person 

for the reporting 

trader’s 

derivatives 

trading

cftcBatch/cftcForm40/contac

t@postalCode

36. Phone 

Number of 

Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Yes Phone Number 

of the contact 

person for the 

reporting trader’s 

derivatives 

trading

cftcBatch/cftcForm40/contac

t@telephone

37. Email 

Address of 

Contact for 

Question 2 Yes Email Address of 

the contact 

person for the 

cftcBatch/cftcForm40/contac

t@email
June 30, 2014 Page 206 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Reporting 

Trader’s 

Derivatives 

Trading

reporting trader’s 

derivatives 

trading

38. NFA ID of 

Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Conditional. 

Required if 

information 

available

The 

identification 

number given to 

the contact by the 

National Futures 

Association

cftcBatch/cftcForm40/contac

t@NFAIdentifier

CONTACT INFORMATION - RISK MANAGEMENT OPERATIONS CONTACT PERSON

39. Contact for 

Risk 

Management 

Operations 

of Reporting 

Trader

Question 3 Yes Indicates whether 

the contact 

information is 

regarding the 

Risk 

Management 

Operations of 

the reporting 

traders 

Y = Yes

N = No

cftcBatch/CftcForm40/conta

ct@isRiskManagementPOC

40. Individual to 

Contact 

Regarding 

Risk 

Management 

Operations 

has same 

information 

Question 3 Yes Indicates whether 

the contact 

information for

risk management 

operations is the 

same as the 

reporting trader

Y = Yes

N = No

cftcBatch/CftcForm40/conta

ct@isSameAsReporter
June 30, 2014 Page 207 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

as Reporting 

Trader

41. Last Name of 

Contact for 

Reporting 

Trader’s 

Risk 

Management 

Operations

Question 3 Yes Surname for 

reportable 

contact person

cftcBatch/cftcForm40/contac

t@lastName

42. First Name 

of Contact 

for Reporting 

Trader’s 

Risk 

Management 

Operations

Question 3 Yes Given or first in 

order name for 

reportable 

contact person

cftcBatch/cftcForm40/contac

t@firstName

43. Middle 

Name of 

Contact for 

Reporting 

Trader’s 

Risk 

Management 

Operations

Question 3 Conditional. 

Required if 

information 

available

Middle name for 

reportable 

contact person

cftcBatch/cftcForm40/contac

t@middleName

44. Name Suffix 

of Contact 

for Reporting 

Trader’s 

Derivatives 

Question 3 Conditional. 

Required if 

information 

available

Suffix for 

reportable 

contact person

cftcBatch/cftcForm40/contac

t@nameSuffix
June 30, 2014 Page 208 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Trading

45. Street 

Address of 

Contact for 

Reporting 

Trader’s 

Risk 

Management 

Operations

Question 3 Yes Street Address 

for reportable 

contact person

cftcBatch/cftcForm40/contac

t@street

46. Suite 

Number of 

Contact for 

Reporting 

Trader’s 

Risk 

Management 

Operations

Question 3 Conditional. 

Required if 

information 

available

Suite number for 

reportable 

contact person

cftcBatch/cftcForm40/contac

t@suite

47. City of 

Contact for 

Reporting 

Trader’s 

Risk 

Management 

Operations

Question 3 Yes City for a 

reportable 

contact person

cftcBatch/cftcForm40/contac

t@city

48. State of 

Contact for 

Reporting 

Trader’s 

Question 3 Yes ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

cftcBatch/cftcForm40/contac

t@state
June 30, 2014 Page 209 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Risk 

Management 

Operations

characters

49. Country of 

Contact for 

Reporting 

Trader’s 

Risk 

Management 

Operations

Question 3 Yes ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/contac

t@country

50. Zip/Postal 

Code of 

Contact for 

Reporting 

Trader’s 

Risk 

Management 

Operations

Question 3 Yes Zip Code or 

postal code for 

reportable 

contact person

cftcBatch/cftcForm40/contac

t@postalCode

51. Phone 

Number of 

Contact for 

Reporting 

Trader’s 

Risk 

Management 

Operations

Question 3 Yes Phone Number 

for reportable 

contact person

cftcBatch/cftcForm40/contac

t@telephone

52. Email 

Address of 

Contact for 

Question 3 Yes Email Address 

for reportable 

contact person

cftcBatch/cftcForm40/contac

t@email
June 30, 2014 Page 210 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Reporting 

Trader’s 

Risk 

Management 

Operations

53. NFA ID of 

Contact for 

Reporting 

Trader’s 

Risk 

Management 

Operations

Question 3 Conditional. 

Required if 

information 

available

The 

identification 

number given to 

the contact by the 

National Futures 

Association

cftcBatch/cftcForm40/contac

t@NFAIdentifier

CONTACT INFORMATION – INDIVIDUAL RESPONSIBLE FOR INFORMATION ON FORM 40

54. Contact for 

Responsible 

Individual of 

Information 

on Form 40.

Question 4 Yes Indicates whther 

the contact 

information is 

regarding the 

Individual 

Responsible for 

information on 

form40

Y = Yes

N = No

cftcBatch/CftcForm40/conta

ct@isFormInformationPOC

55. Individual to 

Contact 

Regarding 

Information 

on Form 40 

has same 

information 

Question 4 Yes Indicates whether 

the contact 

information for 

information on 

Form 40 is the 

same as the 

reporting trader

Y = Yes

N = No

cftcBatch/CftcForm40/conta

ct@isSameAsReporter
June 30, 2014 Page 211 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

as Reporting 

Trader

56. Last Name of 

Contact for 

Reporting 

Trader’s 

Form 40 

Verification

Question 4 Yes Surname for a 

natural person 

contact for Form 

40 verification 

for the reporting 

trader

cftcBatch/cftcForm40/contac

t@lastName

57. First Name 

of Contact 

for Reporting 

Trader’s 

Form 40 

Verification

Question 4 Yes Given or first in 

order name for a 

natural person 

contact for Form 

40 verification 

for the reporting 

trader

cftcBatch/cftcForm40/contac

t@firstName

58. Middle 

Name of 

Contact for 

Reporting 

Trader’s 

Form 40 

Verification

Question 4 Conditional. 

Required if 

information 

available

Middle name for 

a natural person 

contact for Form 

40 verification 

for the reporting 

trader

cftcBatch/cftcForm40/contac

t@middleName

59. Name Suffix 

of Contact 

for Reporting 

Trader’s 

Form 40 

Verification

Question 4 Conditional. 

Required if 

information 

available

Suffix for a 

natural person 

contact for Form 

40 verification 

for the reporting 

trader

cftcBatch/cftcForm40/contac

t@nameSuffix
June 30, 2014 Page 212 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

60. Street 

Address of 

Contact for 

Reporting 

Trader’s 

Form 40 

Verification

Question 4 Yes Street Address of 

the natural 

person contact 

for the reporting 

trader’s Form 40 

verification

cftcBatch/cftcForm40/contac

t@street

61. Suite 

Number of 

Contact for 

Reporting 

Trader’s 

Form 40 

Verification

Question 4 Conditional. 

Required if 

information 

available

Suite number of 

the natural 

person contact 

for the reporting 

trader’s Form 40 

verification

cftcBatch/cftcForm40/contac

t@suite

62. City of 

Contact for 

Reporting 

Trader’s 

Form 40 

Verification

Question 4 Yes City of the 

natural person 

contact for the 

reporting trader’s 

Form 40 

verification

cftcBatch/cftcForm40/contac

t@city

63. State of 

Contact for 

Reporting 

Trader’s 

Form 40 

Verification

Question 4 Yes ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/contac

t@state

64. Country of 

Contact for 

Reporting 

Question 4 Yes ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/cotnac

t@country
June 30, 2014 Page 213 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Trader’s 

Form 40 

Verification

65. Zip/Postal 

Code of 

Contact for 

Reporting 

Trader’s 

Form 40 

Verification

Question 4 Yes Zip code or 

postal code of the 

natural person 

contact for the 

reporting trader’s 

Form 40 

verification

cftcBatch/cftcForm40/contac

t@postalCode

66. Phone 

Number of 

Contact for 

Reporting 

Trader’s 

Form 40 

Verification

Question 4 Yes Phone number of 

the natural 

person contact 

for the reporting 

trader’s Form 40 

verification

cftcBatch/cftcForm40/contac

t@telephone

67. Email 

Address of 

Contact for 

Reporting 

Trader’s 

Form 40 

Verification

Question 4 Yes Email Address of 

the natural 

person contact 

for the reporting 

trader’s Form 40 

verification

cftcBatch/cftcForm40/contac

t@email

68. NFA ID of 

Contact for 

Reporting 

Trader’s 

Form 40 

Question 4 Conditional. 

Required if 

information 

available

The 

identification 

number given to 

the contact by the 

National Futures 

cftcBatch/cftcForm40/contac

t@NFAIdentifier
June 30, 2014 Page 214 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Verification Association

OMNIBUS ACCOUNT CARRIER INFORMATION

69. Customer 

Omnibus 

Account 

Indicator

Question 5 Yes Indicates whether 

the reporting 

trader has a 

customer 

omnibus account 

with a futures 

commission 

merchant, 

clearing member, 

or foreign broker

Y = Yes

N = No

cftcBatch/cftcForm40@isO

mnibusAccount

70. Name of 

Omnibus 

Account 

Carrier

Question 5 Conditional. 

Required if 

isOmnibusAccou

nt=‘Y’

For traders that 

have a customer 

omnibus 

account(s), the 

name of the 

futures 

commission 

merchant, 

clearing member, 

or foreign broker 

carrying the 

account(s) of the 

reporting trader

cftcBatch/cftcForm40/omnib

usAccountCarrier@legalEnti

tyName
June 30, 2014 Page 215 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

71. Futures 

Commission 

Merchant 

Omnibus 

Carrier 

Indicator

Question 5 Conditional. 

Required if 

isOmnibusAccou

nt=‘Y’

Indicates whether 

the reporting 

trader has a 

customer 

omnibus account 

with a futures 

commission 

merchant

Y = Yes

N = No

cftcBatch/cftcForm40/omnib

usAccountCarrier@isFCM

72. Clearing 

Member 

Omnibus 

Carrier 

Indicator

Question 5 Conditional. 

Required if 

isOmnibusAccou

nt=‘Y’

Indicates whether 

the reporting 

trader has a 

customer 

omnibus account 

with a clearing 

member 

Y = Yes

N = No cftcBatch/cftcForm40/omnib

usAccountCarrier@isCM

73. Foreign 

Broker 

Omnibus 

Carrier 

Indicator

Question 5 Conditional. 

Required if 

isOmnibusAccou

nt=‘Y’

Indicates whether 

the reporting 

trader has a 

customer 

omnibus account 

with a foreign 

broker 

Y = Yes

N = No

cftcBatch/cftcForm40/omnib

usAccountCarrier@isFB

74. Foreign 

Government 

Affiliation 

Indicator

Question 6 Yes Indicates whether 

the reporting 

trader is directly 

or indirectly 

affiliated with a 

government other 

than that of the 

Y = Yes

N = No

cftcBatch/cftcForm40@isFo

riegnAffiliated
June 30, 2014 Page 216 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

United States

FOREIGN GOVERNMENT AFFILIATION INFORMATION

75. Foreign 

Government 

Name

Question 6 Conditional. 

Required if 

isForiegnAffiliat

ed =‘Y’

For reporting 

traders affiliated 

with foreign 

government(s), 

the name(s) of 

those foreign 

governments

cftcBatch/cftcForm40/foreig

nAffiliation@countryName

76. Nature of 

Foreign 

Government 

Affiliation(s)

Question 6 Conditional. 

Required if 

isForiegnAffiliat

ed =‘Y’

An explanation 

of the nature of 

affiliation(s) 

between the 

reporting trader 

and the foreign 

governments 

listed

cftcBatch/cftcForm40/foreig

nAffiliation@relationship

NON-DOMESTIC ENTITY INFORMATION

77. NonDomestic 

Entity 

Indicator

Question 7 Conditional. 

Required if 

entityType =‘LE’

Indicates if the 

reporting trader 

is organized 

under the laws of 

countr(ies) other 

than the United 

States

Y = yes

N = no

cftcBatch/cftcForm40@isFo

riegnEntity
June 30, 2014 Page 217 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

78. Country of 

Organization

Question 7 Conditional. 

Required if 

isForiegnEntity

=‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/foregn

LegalRegime@country

OWNERSHIP STRUCTURE OF REPORTING TRADER

PARENT / 10% OR GREATER OWNER OF THE REPORTING TRADER

79. Parent or 

Owner

Indicator

Question 8 Yes,

isParentOrOwner

=‘Y’

Indicates whether 

the reporting 

trader has at least 

one parent/owner

Y = Has at least 

one parent or owner

cftcBatch/cftcForm40/relate

dEntity@isParentOrOwner

80. Parent 

Company

Question 8 Conditional. 

Required if 

isParentOrOwner 

=‘Y’

Indicates if the 

parent of the 

reporting trader 

is a Parent 

Company

Y = yes

N = no

cftcBatch/cftcForm40/relate

dEntity@isParentCompany

81. Parent 

Generation

Question 8 Conditional. 

Required if 

isParentOrOwner

=‘Y’ AND 

isParentCompan

y=‘Y’

For each parent 

of the reporting 

trader, indicates 

the hierarchical 

level in the entity 

structure where 

the parent is 

located. Direct 

parents of the 

trader have 

Generation = 1; 

2 = Parent of a 

parent

1 = Direct parent of 

a reporting trader

cftcBatch/cftcForm40/relate

dEntity@generation
June 30, 2014 Page 218 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

parents of a 

Generation +1 

parent (parents of 

a direct parent) 

have Generation 

= 2 and so on.

82. Parent or 

Owner Entity 

Type

Question 8 Conditional. 

Required if 

isParentOrOwner

=‘Y’

Indicates whether 

the parent/owner 

is a legal entity 

or a natural 

person

LE = legal entity

NP = natural person

cftcBatch/cftcForm40/relate

dEntity@entityType

IF PARENT/OWNER IS A LEGAL ENTITY

83. Parent or 

Owner Legal 

Entity Name

Question 8 Conditional.

Required if 

entityType = 

‘LE’ AND 

isParentOrOwner 

=‘Y’

The legal entity 

name of each 

parent/owner of 

the reporting 

trader (if the 

parent is a legal 

entity)

cftcBatch/cftcForm40/relate

dEntity@legalEntityName

IF PARENT/OWNER IS A NATURAL PERSON

84. Parent or 

Owner Last 

Name

Question 8 Conditional.

Required if 

entityType = 

‘NP’ AND 

isParentOrOwner 

=‘Y’

Surname of the 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relate

dEntity@lastName
June 30, 2014 Page 219 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

85. Parent or 

Owner First 

Name

Question 8 Conditional.

Required if 

entityType = 

‘NP’ AND 

isParentOrOwner 

=‘Y’

Given or first in 

order name of the 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relate

dEntity@firstName

86. Parent or 

Owner 

Middle 

Name

Question 8 Conditional. 

Required if 

information 

available AND If 

entitytype = ‘NP’ 

AND

isParentOrOwner 

=‘Y’

Middle name of 

the parent/owner 

of the reporting 

trader

cftcBatch/cftcForm40/relate

dEntity@middleName

87. Parent or 

Owner Name 

Suffix

Question 8 Conditional. 

Required if 

information 

availableAND If 

entitytype = ‘NP’ 

AND 

isParentOrOwner

=‘Y’

Generational or 

name suffix of 

the parent/owner 

of the reporting 

trader

cftcBatch/cftcForm40/relate

dEntity@nameSuffix

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

88. Parent or 

Owner Street 

Address

Question 8 Conditional. 

Required if 

isParentOrOwner 

=‘Y’

Street address of 

each 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relate

dEntity@street
June 30, 2014 Page 220 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

89. Parent or 

Owner Suite 

Number

Question 8 Conditional. 

Required if 

information 

available AND 

isParentOrOwner 

=‘Y’

Suite number of 

each 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relate

dEntity@suite

90. Parent or 

Owner City

Question 8 Conditional. 

Required if 

isParentOrOwner 

=‘Y’

City of each 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relate

dEntity@city

91. Parent or 

Owner State

Question 8 Conditional. 

Required if 

isParentOrOwner 

=‘Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/relate

dEntity@state

92. Parent or 

Owner 

Country

Question 8 Conditional. 

Required if 

isParentOrOwner 

=‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/relate

dEntity@country

93. Parent or 

Owner 

Zip/Postal 

Code

Question 8 Conditional. 

Required if 

isParentOrOwner 

=‘Y’

Zip code or 

postal code of 

each 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relate

dEntity@postalCode

94. Parent or 

Owner 

Phone 

Number

Question 8 Conditional. 

Required if 

isParentOrOwner 

=‘Y’

Phone Number 

of each 

parent/owner of 

the reporting 

cftcBatch/cftcForm40/relate

dEntity@telephone
June 30, 2014 Page 221 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

trader

95. Parent or 

Owner

Website

Question 8 Conditional. 

Required if 

information 

available

Website of each 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relate

dEntity@website

96. Parent or 

Owner Email 

Address

Question 8 Conditional. 

Required if 

isParentOrOwner 

=‘Y’

Email address of 

each 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relate

dEntity@email

97. Parent or 

Owner NFA 

ID

Question 8 Conditional. 

Required if 

information 

available AND 

isParentOrOwner 

=‘Y’

The 

identification 

number given to 

the parent/owner 

of the reporting 

trader by the 

National Futures 

Association

cftcBatch/cftcForm40/relate

dEntity@NFAIdentifier

98. Parent or 

Owner Legal 

Entity 

Identifier

Question 8 Conditional. 

Required if 

information 

available AND 

isParentOrOwner 

=‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

parent/owner of 

the reporting 

trader by the LEI 

issuer

cftcBatch/cftcForm40/relate

dEntity@legalEntityIdentifie

r

99. 10% Owner Question 8 Conditional. 

Required if 

isParentOrOwner 

Indicates if the 

parent of the 

reporting trader 

Y = yes

N = no

cftcBatch/cftcForm40/relate

dEntity@isPercent_10
June 30, 2014 Page 222 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

=‘Y’ is a 10% 

beneficial owner

IF REPORTING TRADER IS A COMMODITY POOL

100. Commodity 

Pool 

Indicator

Question 8i-8iii Conditional. 

Required if 

isParentOrOwner 

=‘Y’ AND 

isCommodityPoo

l=‘Y’

For each 

parent/owner of 

the reporting 

trader that is a 

limited partner, 

shareholder, or 

other similar type 

of pool 

participant, 

indicates if the 

reported party is 

a commodity 

pool

Y = Yes

N = No

cftcBatch/cftcForm40/relate

dEntity@isCommodityPool

101. Parent or 

Owner 

Principal 

Indicator

Question 8i Conditional. 

Required if 

isParentOrOwner 

=‘Y’ AND 

isCommodityPoo

l=‘Y’

For each 

parent/owner of 

the reporting 

trader that is a 

limited partner, 

shareholder, or 

other similar type 

of pool 

participant, 

indicates if the 

reported party is 

Y = Yes

N = No

cftcBatch/cftcForm40/relate

dEntity@isPrincipal
June 30, 2014 Page 223 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

a principal of the 

operator of the 

commodity pool

102. Parent or 

Owner 

Affiliate 

Indicator

Question 8i Conditional. 

Required if 

isParentOrOwner 

=‘Y’ AND 

isCommodityPoo

l=‘Y’

For each 

parent/owner of 

the reporting 

trader that is a 

limited partner, 

shareholder, or 

other similar type 

of pool 

participant, 

indicates if the 

reported party is 

an affiliate of the 

operator of the 

commodity pool

Y = yes

N = no

cftcBatch/cftcForm40/relate

dEntity@isAffiliate

103. Parent or 

Owner 

Commodity 

Pool 

Operator 

Indicator

Question 8ii Conditional. 

Required if 

isParentOrOwner 

=‘Y’ AND 

isCommodityPoo

l=‘Y’

For each 

parent/owner of 

the reporting 

trader that is a 

limited partner, 

shareholder, or 

other similar type 

of pool 

participant, 

indicates if the 

reported party is 

also a 

Y = Yes

N = No

cftcBatch/cftcForm40/relate

dEntity@isCommodityPool

Operator
June 30, 2014 Page 224 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

commodity pool 

operator of the 

commodity pool

104. 25% 

Ownership 

Indicator

Question 8iii Conditional. 

Required if 

isParentOrOwner 

=‘Y’ AND 

isCommodityPoo

l=‘Y’

For each 

parent/owner of 

the reporting 

trader that is a 

limited partner, 

shareholder, or 

other similar type 

of pool 

participant and 

where the 

operator of the 

commodity pool 

is exempt from 

registration under 

§4.13 of the 

Commission’s 

regulations, 

indicates if the 

reported party 

has an ownership 

or equity interest 

of 25 percent or 

greater in the 

commodity pool

Y = Yes

N = No

cftcBatch/cftcForm40/relate

dEntity@isPercent_25

SUBSIDIARY OF THE REPORTING TRADER/PERSONS IN WHICH REPORTING TRADER HAS 10% OR GREATER 

OWNERSHIP INTEREST
June 30, 2014 Page 225 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

105. Subsidiary or 

Owned 

Indicator

Question 9 Yes,

isSubsidiaryOrO

wned =‘Y’

Indicates whether 

the reporting 

trader has at least 

one subsidiary

and, separately, 

all persons in 

which the 

reporting trader 

has a 10 percent 

or greater 

ownership 

interest

Y = Yes

N = No

cftcBatch/cftcForm40/relate

dEntity@isSubsidiaryOrOw

ned

106. Subsidiary 

Company

Question 9 Conditional. 

Required if 

isSubsidiaryOrO

wned =‘Y’

Indicates if the 

reported party is 

a subsidiary of 

the reporting 

trader

Y = Yes

N = No

cftcBatch/cftcForm40/relate

dEntity@isSubsidiaryComp

any

107. Subsidiary 

Generation

Question 9 Conditional. 

Required if 

isSubsidiaryOrO

wned =‘Y’ AND 

isSubsidiaryCom

pany=‘Y’

For each 

subsidiary entity 

of the reporting 

trader, indicates 

the hierarchical 

level in the entity 

structure where 

the subsidiary 

entity is located. 

Direct 

subsidiaries of 

the trader have 

-2 = Sub of a sub

-1 = Direct sub of a 

reporting trader

cftcBatch/cftcForm40/relate

dEntity@generation
June 30, 2014 Page 226 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Generation = -1; 

subsidiaries of a 

Generation -1 

parent (subs of a 

sub) have 

Generation = - 2 

and so on.

108. Subsidiary or 

Owned Type 

Indicator

Question 9 Conditional. 

Required if 

isSubsidiaryOrO

wned =‘Y’

For each reported 

party, indicates if 

the reported 

party is a natural 

person or a legal 

entity 

LE = Legal Entity

NP = Natural 

Person

cftcBatch/cftcForm40/relate

dEntity@entityType

IF SUBSIDIARY OR OWNED ENTITY IS A LEGAL ENTITY

109. Subsidiary or 

Owned 

Entity Name

Question 9 Conditional

Required if 

entityType = 

‘LE’ AND 

isSubsidiaryOrO

wned =‘Y’

Legal name of 

each 

subsidiary/owned 

entity of the 

reporting trader 

cftcBatch/cftcForm40/relate

dEntity@legalEntityName

IF SUBSIDIARY OR OWNED ENTITY IS A NATURAL PERSON

110. Subsidiary or 

Owned 

Entity Last 

Name

Question 9 Conditional

Required if 

entityType = 

‘NP’ AND 

isSubsidiaryOrO

Surname of each 

subsidiary/owned 

entity of the 

reporting trader 

cftcBatch/cftcForm40/relate

dEntity@lastName
June 30, 2014 Page 227 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

wned =‘Y’

111. Subsidiary or 

Owned 

Entity First 

Name

Question 9 Conditional

Required if 

entityType = 

‘NP’ AND 

isSubsidiaryOrO

wned =‘Y’

Given or first in 

order name of 

each 

subsidiary/owned 

entity of the 

reporting trader 

cftcBatch/cftcForm40/relate

dEntity@firstName

112. Subsidiary or 

Owned 

Entity 

Middle 

Name

Question 9 Conditional

Required if 

available AND 

entityType = 

‘NP’ AND 

isSubsidiaryOrO

wned =‘Y’

Middle name of 

each 

subsidiary/owned 

entity of the 

reporting trader

cftcBatch/cftcForm40/relate

dEntity@middleName

113. Subsidiary or 

Owned 

Entity Name 

Suffix

Question 9 Conditional

Required if 

available AND 

entityType = 

‘NP’ AND 

isSubsidiaryOrO

wned =‘Y’

Generational or 

name suffix of 

each 

subsidiary/owned 

entity of the 

reporting trader

cftcBatch/cftcForm40/relate

dEntity@nameSuffix

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

114. Subsidiary or 

Owned 

Entity Street 

Address

Question 9 Conditional. 

Required if 

isSubsidiaryOrO

wned =‘Y’

Street address of 

each 

subsidiary/owned 

entity of the 

cftcBatch/cftcForm40/relate

dEntity@street
June 30, 2014 Page 228 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

reporting trader

115. Subsidiary or 

Owned 

Entity Suite 

Number

Question 9 Conditional. 

Required if 

isSubsidiaryOrO

wned =‘Y’

Suite number of 

each 

subsidiary/owned 

entity of the 

reporting trader

cftcBatch/cftcForm40/relate

dEntity@suite

116. Subsidiary or 

Owned 

Entity City

Question 9 Conditional. 

Required if 

isSubsidiaryOrO

wned =‘Y’

City of each 

subsidiary/owned 

entity of the 

reporting trader

cftcBatch/cftcForm40/relate

dEntity@city

117. Subsidiary or 

Owned 

Entity State

Question 9 Conditional. 

Required if 

isSubsidiaryOrO

wned =‘Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/relate

dEntity@state

118. Subsidiary or 

Owned 

Entity

Country

Question 9 Conditional. 

Required if 

isSubsidiaryOrO

wned =‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/relate

dEntity@country

119. Subsidiary or 

Owned 

Entity 

Zip/Postal 

Code

Question 9 Conditional. 

Required if 

isSubsidiaryOrO

wned =‘Y’

Zip code or 

postal code of 

each 

subsidiary/owned 

entity of the 

reporting trader

cftcBatch/cftcForm40/relate

dEntity@postalCode

120. Subsidiary or 

Owned 

Question 9 Conditional. 

Required if 

Phone number of 

each 

cftcBatch/cftcForm40/relate

dEntity@telephone
June 30, 2014 Page 229 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Entity Phone 

Number

isSubsidiaryOrO

wned =‘Y’

subsidiary/owned 

entity of the 

reporting trader

121. Subsidiary or 

Owned 

Entity

Website

Question 9 Conditional. 

Required if 

information 

available AND 

isSubsidiaryOrO

wned =‘Y’

Website of each 

subsidiary/owned 

entity of the 

reporting trader

cftcBatch/cftcForm40/relate

dEntity@website

122. Subsidiary or 

Owned 

Entity Email 

Address

Question 9 Conditional. 

Required if 

isSubsidiaryOrO

wned =‘Y’

Email address of 

each 

subsidiary/owned 

entity of the 

reporting trader

cftcBatch/cftcForm40/relate

dEntity@email

123. Subsidiary or 

Owned 

Entity NFA 

ID

Question 9 Conditional. 

Required if 

information 

available AND

If entitytype = 

‘LE’ AND 

isSubsidiaryOrO

wned =‘Y’

The 

identification 

number given to 

the 

subsidiary/owned 

entity by the 

National Futures 

Association

cftcBatch/cftcForm40/relate

dEntity@NFAIdentifier

124. Subsidiary or 

Owned 

Entity Legal 

Entity 

Identifier

Question 9 Conditional. 

Required if 

information 

available AND

If entitytype = 

‘LE’ AND 

isSubsidiaryOrO

The legal entity 

identifier (LEI) 

assigned to the 

subsidiary/owned 

entity by the LEI 

issuer

cftcBatch/cftcForm40/relate

dEntity@legalEntityIdentifie

r
June 30, 2014 Page 230 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

wned =‘Y’

125. 10% Owned Question 9 Conditional. 

Required if 

isSubsidiaryOrO

wned =‘Y’

Indicates if the 

reported party is 

a person in which 

the reporting 

trader has a 10% 

or greater 

ownership 

interest

Y = Yes

N = No

cftcBatch/cftcForm40/relate

dEntity@isPercent_10

126. Subsidiary 

Principal/Aff

iliate 

Indicator

Question 9i Conditional. 

Required if 

isSubsidiaryOrO

wned =‘Y’ 

For each

subsidiary/owned 

entity that is a 

commodity pool 

and for which the 

reporting trader 

is a limited 

partner, 

shareholder, or 

other pool 

participant, 

indicates if the 

trader is a 

principal of the 

operator of the 

commodity pool

Y = Yes

N = No

cftcBatch/cftcForm40/relate

dEntity@isPrincipal

127. Subsidiary 

Affiliate 

Indicator

Question 9i Conditional. 

Required if 

isSubsidiaryOrO

For each 

subsidiary/owned 

entity that is a 

Y = Yes

N = No

cftcBatch/cftcForm40/relate

dEntity@isAffiliate
June 30, 2014 Page 231 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

wned =‘Y’ commodity pool 

and for which the 

reporting trader 

is a limited 

partner, 

shareholder, or 

other pool 

participant, 

indicates if the 

trader is an 

affiliate of the 

operator of the 

commodity pool

128. Subsidiary 

Commodity 

Pool 

Operator 

Indicator

Question 9ii Conditional. 

Required if 

isSubsidiaryOrO

wned =‘Y’ 

For each reported 

party that is a 

commodity pool 

and for which the 

trader is a limited 

partner, 

shareholder, or 

other pool 

participant, 

indicates if the 

trader is the 

commodity pool 

operator

Y = Yes, operator

N = No, not the 

operator

cftcBatch/cftcForm40/relate

dEntity@isCommodityPool

Operator

129. Subsidiary 

25% 

Ownership 

Question 9iii Conditional. 

Required if 

isSubsidiaryOrO

For each reported 

party that is a 

commodity pool 

Y = 25% or greater 

interest

N = not 25% or 

cftcBatch/cftcForm40/relate

dEntity@isPercent_25
June 30, 2014 Page 232 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Indicator wned =‘Y’ and for which the 

trader is a limited 

partner, 

shareholder, or 

other pool 

participant, and 

for which the 

operator of the 

commodity pool 

is exempt from 

registration under 

§4.13 of the 

Commission’s 

regulations, 

indicates if the 

trader has an 

ownership or 

equity interest of 

25 percent or 

greater in the 

commodity pool

greater interest

CONTROL OF TRADING - PERSONS OTHER THAN REPORTING TRADER

130. Controller 

Indicator

Question 10 Yes List all persons 

outside of the 

reporting trader 

that control some 

or all of the 

derivatives 

Y=Yes

N=No

cftcBatch/cftcForm40/relate

dEntity@isAlternateTradeC

ontrol
June 30, 2014 Page 233 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

trading of the 

reporting trader –

an “alternate 

trade controller”

131. Alternate

Trade 

Controller

Type 

Indicator

Question 10 Conditional. 

Required if 

isAlternateTrade

Control =‘Y’

For each 

alternate trade 

controller, 

indicates if the 

person is a 

natural person or 

legal entity

LE = Legal Entity

NP = Natural 

Person

cftcBatch/cftcForm40/relate

dEntity@entityType

IF ALTERNATE TRADE CONTROLLER IS A LEGAL ENTITY

132. Alternate 

Trade 

Controller 

Legal Entity 

Name

Question 10 Conditional. 

Required if 

entityType = 

‘LE’ AND 

isAlternateTrade

Control =‘Y’

Legal name of 

each alternate 

trade controller

cftcBatch/cftcForm40/relate

dEntity@legalEntityName

IF ALTERNATE TRADE CONTROLLER IS A NATURAL PERSON

133. Alternate 

Trade 

Controller

Last Name

Question 10 Conditional. 

Required

If entityType = 

‘NP’ AND 

isAlternateTrade

Control =‘Y’

Surname of each 

alternate trade 

controller

cftcBatch/cftcForm40/relate

dEntity@lastName
June 30, 2014 Page 234 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

134. Alternate 

Trade 

Controller 

First Name

Question 10 Conditional,

If entityType = 

‘NP’ AND 

isAlternateTrade

Control =‘Y’

Given or first in 

order name of 

each alternate 

trade controller

cftcBatch/cftcForm40/relate

dEntity@firstName

135. Alternate 

Trade 

Controller 

Middle 

Name

Question 10 Conditional (not 

required),

If entityType = 

‘NP’ AND 

isAlternateTrade

Control =‘Y’

Middle name of 

each alternate 

trade controller

cftcBatch/cftcForm40/relate

dEntity@middleName

136. Alternate 

Trade 

Controller 

Name Suffix

Question 10 Conditional (not 

required),

If entityType = 

‘NP’ 

isAlternateTrade

Control =‘Y’

Generational or 

name suffix of 

each alternate 

trade controller

cftcBatch/cftcForm40/relate

dEntity@nameSuffix

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

137. Alternate 

Trade 

Controller 

Street 

Address

Question 10 Conditional. 

Required

If 

isAlternateTrade

Control =‘Y’

Street address of 

each alternate 

trade controller

cftcBatch/cftcForm40/relate

dEntity@street

138. Alternate 

Trade 

Controller 

Suite 

Number

Question 10 Conditional. 

Required

If 

isAlternateTrade

Control =‘Y’

Suite number of 

each alternate 

trade controller

cftcBatch/cftcForm40/relate

dEntity@suite
June 30, 2014 Page 235 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

139. Alternate 

Trade 

Controller 

City

Question 10 Conditional. 

Required

If 

isAlternateTrade

Control =‘Y’

City of each 

alternate trade 

controller

cftcBatch/cftcForm40/relate

dEntity@city

140. Alternate 

Trade 

Controller 

State

Question 10 Conditional. 

Required

If 

isAlternateTrade

Control =‘Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/relate

dEntity@state

141. Alternate 

Trade 

Controller 

Country

Question 10 Conditional. 

Required

If 

isAlternateTrade

Control =‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/relate

dEntity@country

142. Alternate 

Trade 

Controller 

Zip/Postal 

Code

Question 10 Conditional. 

Required

If 

isAlternateTrade

Control =‘Y’

Zip code or 

postal code of 

each alternate 

trade controller

cftcBatch/cftcForm40/relate

dEntity@postalCode

143. Alternate 

Trade 

Controller 

Phone 

Number

Question 10 Conditional. 

Required

If 

isAlternateTrade

Control =‘Y’

Phone number of 

each alternate 

trade controller

cftcBatch/cftcForm40/relate

dEntity@telephone

144. Alternate 

Trade 

Controller 

Website

Question 10 Conditional. 

Required

If information 

avaliable AND 

Website of each 

alternate trade 

controller

cftcBatch/cftcForm40/relate

dEntity@website
June 30, 2014 Page 236 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isAlternateTrade

Control =‘Y’

145. Alternate 

Trade 

Controller 

Email 

Address

Question 10 Conditional. 

Required if 

isAlternateTrade

Control =‘Y’

Email address of 

each alternate 

trade controller

cftcBatch/cftcForm40/relate

dEntity@email

146. Alternate 

Trade 

Controller 

NFA ID

Question 10 Conditional. 

Required if 

information 

available AND 

isAlternateTrade

Control =‘Y’

The 

identification 

number given to 

the alternate 

trade controller 

by the National 

Futures 

Association

cftcBatch/cftcForm40/relate

dEntity@NFAIdentifier

147. Alternate 

Trade 

Controller 

Legal Entity 

Identifier

Question 10 Conditional. 

Required if 

information 

available AND 

isAlternateTrade

Control =‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

alternate trade 

controller by the 

LEI issuer

cftcBatch/cftcForm40/relate

dEntity@legalEntityIdentifie

r

148. Alternate 

Trade 

Controller 

Some/All 

Indicator

Question 10 Conditional. 

Required If 

isAlternateTrade

Control =‘Y’

Indicates if the 

alternate trade 

controller 

controls some or 

all of the 

derivatives 

trading of the 

reporting trader

S = Some

A = All

cftcBatch/cftcForm40/relate

dEntity@toWhatDegree
June 30, 2014 Page 237 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

PERSONS FOR WHICH REPORTING TRADER CONTROLS TRADING

149. Controlee 

Indicator

Question 11 Yes List all persons 

for which the 

reporting trader 

controls some or 

all of the 

derivatives 

trading (a 

“controlee”)

Y=Yes

N=No

cftcBatch/cftcForm40/relate

dEntity@isTradeControlFor

150. Controlee 

Type 

Indicator

Question 11 Conditional. 

Required if 

isTradeControlF

or=‘Y’

For each 

controlee, 

indicates whether 

the person is a 

legal entity or 

natural person

LE = Legal Entity

NP = Natural 

Person

cftcBatch/cftcForm40/relate

dEntity@entityType

IF CONTROLEE IS A LEGAL ENTITY

151. Controlee 

Legal Entity 

Name

Question 11 Conditional. 

Required if 

entityType = 

‘LE’ AND 

isTradeControlF

or=‘Y’

Legal name of 

each controlee

cftcBatch/cftcForm40/relate

dEntity@legalEntityName

IF CONTROLEE IS A NATURAL PERSON

152. Controlee 

Last Name

Question 11 Conditional. 

Required if 

Surname of each 

controlee

cftcBatch/cftcForm40/relate

dEntity@lastName
June 30, 2014 Page 238 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

entityType = 

‘NP’ AND 

isTradeControlF

or=‘Y’

153. Controlee 

First Name

Question 11 Conditional. 

Required if 

entityType = 

‘NP’ AND 

isTradeControlF

or=‘Y’

Given or first in 

order name of 

each controlee

cftcBatch/cftcForm40/relate

dEntity@firstName

154. Controlee 

Middle 

Name

Question 11 Conditional. 

Required if 

information 

avaliable AND 

entityType = 

‘NP’ AND 

isTradeControlF

or=‘Y’

Middle name of 

each controlee

cftcBatch/cftcForm40/relate

dEntity@middleName

155. Controlee 

Name Suffix

Question 11 Conditional. 

Required if 

information 

avaliable AND 

entityType = 

‘NP’ AND 

isTradeControlF

or=‘Y’

Generational or 

name suffix of 

each controlee

cftcBatch/cftcForm40/relate

dEntity@nameSuffix

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS
June 30, 2014 Page 239 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

156. Controlee 

Street 

Address

Question 11 Conditional. 

Required if 

isTradeControlF

or=‘Y’

Street address of 

each controlee

cftcBatch/cftcForm40/relate

dEntity@street

157. Controlee 

Suite 

Number

Question 11 Conditional. 

Required if 

information 

avaliable AND 

isTradeControlF

or=‘Y’

Suite number of 

each controlee

cftcBatch/cftcForm40/relate

dEntity@suite

158. Controlee 

City

Question 11 Conditional. 

Required if 

isTradeControlF

or=‘Y’

City of each 

controlee

cftcBatch/cftcForm40/relate

dEntity@city

159. Controlee 

State

Question 11 Conditional. 

Required if 

isTradeControlF

or=‘Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/relate

dEntity@state

160. Controlee 

Country

Question 11 Conditional. 

Required if 

isTradeControlF

or=‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/relate

dEntity@country

161. Controlee 

Zip/Postal 

Code

Question 11 Conditional. 

Required if 

isTradeControlF

or=‘Y’

Zip code or 

postal code of 

each controlee

cftcBatch/cftcForm40/relate

dEntity@postalCode
June 30, 2014 Page 240 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

162. Controlee 

Phone 

Number

Question 11 Conditional. 

Required if 

isTradeControlF

or=‘Y’

Phone number of 

each controlee

cftcBatch/cftcForm40/relate

dEntity@telephone

163. Controlee 

Website

Question 11 Conditional. 

Required if 

Information 

available AND 

isTradeControlF

or=‘Y’

Website of each 

controlee

cftcBatch/cftcForm40/relate

dEntity@website

164. Controlee 

Email 

Address

Question 11 Conditional. 

Required if 

isTradeControlF

or=‘Y’

Email address of 

each controlee

cftcBatch/cftcForm40/relate

dEntity@email

165. Controlee 

NFA ID

Question 11 Conditional. 

Required

If Information 

Avaliable AND 

isTradeControlF

or=‘Y’

The 

identification 

number given to 

the controlee by 

the National 

Futures 

Association

cftcBatch/cftcForm40/relate

dEntity@NFAIdentifier

166. Controlee 

Legal Entity 

Identifier

Question 11 Conditional. 

Required

If Information 

Avaliable AND 

isTradeControlF

or=‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

controlee by the 

LEI issuer

cftcBatch/cftcForm40/relate

dEntity@legalEntityIdentifie

r

167. Controlee 

Some/All 

Question 11 Conditional. 

Required

Indicates if the 

reporting trader 

S = Some

A = All

cftcBatch/cftcForm40/relate

dEntity@toWhatDegree
June 30, 2014 Page 241 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Indicator If 

isTradeControlF

or=‘Y’

controls some or 

all of the 

derivatives 

trading of the 

controlee

OTHER PERSON THAT INFLUENCES OR EXERCISES AUTHORITY OVER TRADING 

168. Influencer/ 

Authority 

Indicator

Question 12 Yes List any other 

person(s) that 

directly or 

indirectly 

influence, or 

exercise 

authority over, 

some or all of the 

trading of the 

reporting trader, 

but who do not 

exercise 

“control” as 

defined in the 

OCR Final Rule 

(a “Reportable 

Influencer”)

Y=Yes

N=No

cftcBatch/cftcForm40/relate

dEntity@isOtherInfluence

169. Influencer/A

uthority 

Type 

Indicator

Question 12 Conditional. 

Required if 

isOtherInfluence

=‘Y’

For each 

reportable 

influencer, 

indicates whether 

the person is 

LE = Legal Entity

NP = Natural 

Person

cftcBatch/cftcForm40/relate

dEntity@entityType
June 30, 2014 Page 242 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

legal entity or 

natural person

IF REPORTABLE INFLUENCER IS A LEGAL ENTITY

170. Influencer/A

uthority 

Legal Entity 

Name

Question 12 Conditional. 

Required if 

entityType=‘LE’ 

AND 

isOtherInfluence

=‘Y’

Legal name of 

each reportable 

influencer

cftcBatch/cftcForm40/relate

dEntity@legalEntityName

IF REPORTABLE INFLUENCER IS A NATURAL PERSON

171. Influencer/A

uthority Last 

Name

Question 12 Conditional. 

Required if 

entityType=‘NP’ 

AND 

isOtherInfluence

=‘Y’

Surname of each 

reportable 

influencer

cftcBatch/cftcForm40/relate

dEntity@lastName

172. Influencer/A

uthority First 

Name

Question 12 Conditional. 

Required if 

entityType=‘NP’ 

AND 

isOtherInfluence

=‘Y’

Given or first in 

order name of 

each reportable 

influencer

cftcBatch/cftcForm40/relate

dEntity@firstName

173. Influencer/A

uthority 

Middle 

Name

Question 12 Conditional. 

Required

If Information 

Avaliable AND 

Middle name of 

each reportable 

influencer

cftcBatch/cftcForm40/relate

dEntity@middleName
June 30, 2014 Page 243 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

entityType=‘NP’ 

AND 

isOtherInfluence

=‘Y’

174. Influencer/A

uthority 

Name Suffix

Question 12 Conditional. 

Required

If Information 

Avaliable AND 

entityType=‘NP’ 

AND 

isOtherInfluence

=‘Y’

Generational or 

name suffix of 

each reportable 

influencer

cftcBatch/cftcForm40/relate

dEntity@nameSuffix

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

175. Influencer/A

uthority 

Street 

Address

Question 12 Conditional. 

Required if 

isOtherInfluence

=‘Y’

Street address of 

each reportable 

influencer

cftcBatch/cftcForm40/relate

dEntity@street

176. Influencer/A

uthority 

Suite 

Number

Question 12 Conditional. 

Required

If Information 

Avaliable AND 

isOtherInfluence

=‘Y’

Suite number of 

each reportable 

influencer

cftcBatch/cftcForm40/relate

dEntity@suite

177. Influencer/A

uthority City

Question 12 Conditional. 

Required if 

isOtherInfluence

=‘Y’

City of each 

reportable 

influencer

cftcBatch/cftcForm40/relate

dEntity@city
June 30, 2014 Page 244 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

178. Influencer/A

uthority State

Question 12 Conditional. 

Required if 

isOtherInfluence

=‘Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/relate

dEntity@state

179. Influencer/A

uthority 

Country

Question 12 Conditional. 

Required if 

isOtherInfluence

=‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/relate

dEntity@country

180. Influencer/A

uthority 

Zip/Postal 

Code

Question 12 Conditional. 

Required if 

isOtherInfluence

=‘Y’

Zip code or 

postal code of 

each reportable 

influencer

cftcBatch/cftcForm40/relate

dEntity@postalCode

181. Influencer/A

uthority 

Phone 

Number

Question 12 Conditional. 

Required if 

isOtherInfluence

=‘Y’

Phone number of 

each reportable 

influencer

cftcBatch/cftcForm40/relate

dEntity@telephone

182. Influencer/A

uthority 

Website

Question 12 Conditional. 

Required if 

Information 

Avalaible AND 

isOtherInfluence

=‘Y’

URL for the 

website of each 

reportable 

influencer

cftcBatch/cftcForm40/relate

dEntity@website

183. Influencer/A

uthority 

Email 

Address

Question 12 Conditional. 

Required if 

isOtherInfluence

=‘Y’

Email address of 

each reportable 

influencer

cftcBatch/cftcForm40/relate

dEntity@email
June 30, 2014 Page 245 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

184. Influencer/A

uthority NFA 

ID

Question 12 Conditional. 

Required If 

Information 

available AND 

isOtherInfluence

=‘Y’

The 

identification 

number given to 

the 

influencer/author

ity by the 

National Futures 

Association

cftcBatch/cftcForm40/relate

dEntity@NFAIdentifier

185. Influencer/A

uthority 

Legal Entity 

Identifier

Question 12 Conditional. 

Required

If Information 

available AND 

isOtherInfluence

=‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

influencer/author

ity by the LEI 

issuer

cftcBatch/cftcForm40/relate

dEntity@legalEntityIdentifie

r

186. Influencer/A

uthority 

Some/All 

Indicator

Question 12 Conditional. 

Required If 

isOtherInfluence

=‘Y’

Indicates if the 

identified party 

influences or 

exercises 

authority over 

some or all of the 

derivatives 

trading of the 

reporting trader

S = Some

A = All

cftcBatch/cftcForm40/relate

dEntity@toWhatDegree

EXPRESS OR IMPLIED AGREEMENT - CONTACT INFORMATION

187. Derivatives 

Trading 

Agreement 

Indicator

Question 13 Yes Indicates if some 

or all of the 

derivatives 

trading of the 

Y = Yes

N = No

cftcBatch/cftcForm40/relate

dEntity@isOtherAgreement
June 30, 2014 Page 246 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

reporting trader 

is subject to an 

express or 

implied 

agreement/under

standing with 

any person(s) not 

already listed.

188. Reportable 

Party Entity 

Type

Question 13 Conditional. 

Required if 

isOtherAgreeme

nt=‘Y’

For each 

reportable party, 

indicates such 

person is a legal 

entity or natural 

person

LE = Legal Entity

NP = Natural 

Person

cftcBatch/cftcForm40/relate

dEntity@entityType

IF REPORTABLE PARTY IS A LEGAL ENTITY

189. Reportable 

Party Legal 

Entity Name

Question 13 Conditional. 

Required if 

entityType=‘LE’ 

AND 

isOtherAgreeme

nt=‘Y’

Legal name of 

each reportable 

party

cftcBatch/cftcForm40/relate

dEntity@legalEntityName

IF REPORTABLE PARTY IS A NATURAL PERSON

190. Reportable 

Party Last 

Name

Question 13 Conditional. 

Required if 

entityType=‘NP’ 

AND 

Surname of each 

reportable party

cftcBatch/cftcForm40/relate

dEntity@lastName
June 30, 2014 Page 247 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isOtherAgreeme

nt=‘Y’

191. Reportable 

Party First 

Name

Question 13 Conditional. 

Required if 

entityType=‘NP’ 

AND 

isOtherAgreeme

nt=‘Y’

Given or first in 

order name of 

each reportable 

party

cftcBatch/cftcForm40/relate

dEntity@firstName

192. Reportable 

Party Middle 

Name

Question 13 Conditional. 

Required

If Information 

Avaliable AND 

entityType=‘NP’ 

AND 

isOtherAgreeme

nt=‘Y’

Middle name of 

each reportable 

party

cftcBatch/cftcForm40/relate

dEntity@middleName

193. Reportable 

Party Name 

Suffix

Question 13 Conditional. 

Required

If Information 

Avaliable AND 

entityType=‘NP’ 

AND 

isOtherAgreeme

nt=‘Y’

Generational or 

name suffix of 

each reportable 

party

cftcBatch/cftcForm40/relate

dEntity@nameSuffix

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

194. Reportable 

Party Street 

Question 13 Conditional. 

Required if 

Street address of 

each reportable 

cftcBatch/cftcForm40/relate

dEntity@street
June 30, 2014 Page 248 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Address isOtherAgreeme

nt=‘Y’

party

195. Reportable 

Party Suite 

Number

Question 13 Conditional. 

Required

If Information 

Avaliable AND 

isOtherAgreeme

nt=‘Y’

Suite number of 

each reportable 

party

cftcBatch/cftcForm40/relate

dEntity@suite

196. Reportable 

Party City

Question 13 Conditional. 

Required if 

isOtherAgreeme

nt=‘Y’

City of each 

reportable party

cftcBatch/cftcForm40/relate

dEntity@city

197. Reportable 

Party State

Question 13 Conditional. 

Required if 

isOtherAgreeme

nt=‘Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/relate

dEntity@state

198. Reportable 

Party 

Country

Question 13 Conditional. 

Required if 

isOtherAgreeme

nt=‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/relate

dEntity@country

199. Reportable 

Party 

Zip/Postal 

Code

Question 13 Conditional. 

Required if 

isOtherAgreeme

nt=‘Y’

Zip Code or 

postal code of 

each reportable 

party

cftcBatch/cftcForm40/relate

dEntity@postalCode

200. Reportable 

Party Phone

Number

Question 13 Conditional. 

Required if 

isOtherAgreeme

Phone number of 

each reportable 

party

cftcBatch/cftcForm40/relate

dEntity@telephone
June 30, 2014 Page 249 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

nt=‘Y’

201. Reportable 

Party 

Website

Question 13 Conditional. 

Required if 

Information 

Avaliable AND 

isOtherAgreeme

nt=‘Y’

URL for the 

website of each 

reportable party

cftcBatch/cftcForm40/relate

dEntity@website

202. Reportable 

Party Email 

Address

Question 13 Conditional. 

Required if 

isOtherAgreeme

nt=‘Y’

Email address of 

each reportable 

party

cftcBatch/cftcForm40/relate

dEntity@email

203. Reportable 

Party NFA 

ID

Question 13 Conditional. 

Required if 

Information 

avaliable 

isOtherAgreeme

nt=‘Y’

The 

identification 

number given to 

the reportable 

party by the 

National Futures 

Association

cftcBatch/cftcForm40/relate

dEntity@NFAIdentifier

204. Reportable 

Party Legal 

Entity 

Identifier

Question 13 Conditional. 

Required if 

Information 

avaliable 

isOtherAgreeme

nt=‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

reportable party 

by the LEI issuer

cftcBatch/cftcForm40/relate

dEntity@legalEntityIdentifie

r

205. Reportable 

Party 

Some/All 

Indicator

Question 13 Conditional. 

Required if 

isOtherAgreeme

nt=‘Y’

Indicates if some 

or all of the 

reporting trader’s 

derivatives 

S = Some

A = All

cftcBatch/cftcForm40/relate

dEntity@toWhatDegree
June 30, 2014 Page 250 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

trading is subject 

to an agreement 

or understanding 

with the 

reportable party

THE FOLLOWING FORM 40 QUESTIONS REFERENCE DEFINITIONS AND SUPPLEMENTAL LISTS THAT 

APPEAR IN THE FORM 40 ATTACHED AS AN APPENDIX TO THE OCR FINAL RULE22

206. Commodity 

Index 

Trading 

Indicator 

(Paragraph 

A)

Question 14i Yes Indicates if the 

reporting trader 

is engaged in 

Commodity 

Index Trading as 

defined in 

Paragraph A of 

the CIT 

definition

Y = Yes

N = No

cftcBatch/cftcForm40@isCo

mmodityIndexTrader_invest

or

207. Commodity 

Index 

Trading 

Indicator 

(Paragraph 

B)

Question 14ii Yes Indicates if the 

reporting trader 

is engaged in 

Commodity 

Index Trading as 

defined in 

Paragraph B of 

Y = Yes

N = No

cftcBatch/cftcForm40@isCo

mmodityIndexTrader_mana

ger

 

22 Reporting parties should visit this link to view the OCR Final Rule on the Federal Register: 

https://www.federalregister.gov/articles/2013/11/18/2013-26789/ownership-and-control-reports-forms-102102s-4040s-and-71

Visit this link to view a pdf copy of the OCR Final Rule: http://www.cftc.gov/ucm/groups/public/@lrfederalregister/documents/file/2013-

26789a.pdf
June 30, 2014 Page 251 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

the CIT 

definition

208. CIT 

Long/Short 

Exposure 

Indicator

Question 14iia Conditional. 

Required if 

isCommodityInd

exTrader_manag

er = ‘Y’

Indicates if the 

reporting trader 

[that is engaged 

in Commodity 

Index Trading as 

defined in 

Paragraph B and 

with respect to 

commodities in 

Supplemental 

List II] is 

pursuing 

aggregate long or 

short exposure 

with respect to 

such 

commodities or 

commodity 

groups. It is not 

necessary to 

respond to this 

question with 

respect to CIT 

that tracks the 

performance of 

multiple 

unrelated 

L = Long

S = Short

cftcBatch/cftcForm40@com

modityIndexExposure
June 30, 2014 Page 252 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

commodities or 

commodity 

groups (e.g., an 

investment in an 

exchange-traded 

fund that tracks 

the performance 

of an index 

representing 

commodities 

spanning 

multiple 

commodity 

groups).

209. Commodity 

Index 

Trading Start

Date

Question 14iia Conditional.Requ

ired if 

isCommodityInd

exTrader_manag

er = ‘Y’

OR

isCommodityInd

exTrader_investo

r = ‘Y’

For traders who 

are engaged in 

Commodity 

Index Trading as 

defined in 

Paragraph A or B 

of the CIT 

definition, 

indicates the 

month and year 

in which the 

trader first 

became engaged 

in such trading.

YYYY-MM-DD cftcBatch/cftcForm40@initi

atedCommodityIndexTradin

g
June 30, 2014 Page 253 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

210. Swap Dealer 

Indicator

Question 15 Yes Indicates if the 

reporting trader 

is a swap dealer 

as defined in § 

1.3(ppp) of 

regulations under 

the Commodity 

Exchange Act

Y = Yes

N = No

cftcBatch/cftcForm40@isSw

apDealer

211. Major Swap 

Participant 

Indicator

Question 16 Yes Indicates if the 

reporting trader 

is a Major Swap 

Participant, as 

defined in § 

1.3(qqq) of 

regulations under 

the Commodity

Exchange Act

Y = Yes

N = No

cftcBatch/cftcForm40@isSw

apParticipant

212. Business 

Sector

Question 17 No Each business 

sector and 

subsector that 

pertains to the 

business 

activities or 

occupation of the 

reporting trader 

See Appendix B of 

this Technical 

Document –

Supplemental List I 

for valid 

submission codes

cftcBatch/cftcForm40/nature

OfBusiness@businessSector

213. Business 

Subsector

Question 17 No Each business 

sector and 

subsector that 

pertains to the 

See Appendix B of 

this Technical 

Document –

Supplemental List I 

cftcBatch/cftcForm40/nature

OfBusiness@businessSubSe

ctor
June 30, 2014 Page 254 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

business 

activities or 

occupation of the 

reporting trader 

for valid 

submission codes

214. Other 

Description –

Business 

Subsector

Question 17 No Description of 

the subsector in 

the event that 

“Other” is 

selected.

cftcBatch/cftcForm40/nature

OfBusiness@otherDescripti

on

215. Primary 

Subsector

Question 17 Conditional. 

Required if 

businessSubSect

or is not null. 

In the event that 

more than one 

(sub)sector is 

listed, an 

indication of the 

(sub)sector 

primarily 

describes the 

nature of the 

reporting trader’s 

business

Y=Yes

N=No

cftcBatch/cftcForm40/nature

OfBusiness@isPrimary

216. Commodities 

Traded

Question 18 No Each individual 

commodity or 

commodity 

group that the 

reporting trader 

presently trades 

or expects to 

trade in the near 

future in 

See Appendix B of 

this Technical 

Document –

Supplemental List 

II for valid 

submission codes

cftcBatch/cftcForm40/nature

OfBusiness@commodity
June 30, 2014 Page 255 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

derivatives 

markets (There is 

a supplementary 

list to select from 

in the form)

217. Commodity 

Groups 

Traded

Question 18 No Each individual 

commodity or 

commodity 

group that the 

reporting trader 

presently trades 

or expects to 

trade in the near

future in 

derivatives 

markets (There is 

a supplementary 

list to select from 

in the form)

See Appendix B of 

this Technical 

Document –

Supplemental List 

II for valid 

submission codes

cftcBatch/cftcForm40/nature

OfBusiness@commodityGro

up

218. Other 

Description –

Commodity/

Commodity 

Group 

Traded

Question 18 No A description of 

the commodity 

group and 

commodity in the 

event that the 

user selects 

“Other”.

cftcBatch/cftcForm40/nature

OfBusiness@otherDescripti

on

219. Individual 

Commodity 

Business 

Question 19 Conditional. 

Required if 

Individual 

For each listed 

individual 

commodity, 

See Appendix B of 

this Technical 

Document –

cftcBatch/cftcForm40/nature

OfBusiness@businessPurpo

se
June 30, 2014 Page 256 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Purpose Commodity is 

selected, then 

business purpose 

must be added.

indicates the 

business 

purposes for 

which the 

reporting trader 

uses derivatives 

markets (There is 

a supplementary 

list to select from 

in the form)

Supplemental List 

III for valid 

submission codes

220. Individual 

Commodity 

Predominant 

Business 

Purpose 

Indicator

Question 19 ConditionalRequ

ired if 

businessPurpose 

is not null.

If the reporting 

trader has more 

than one business 

purpose for 

trading in an 

individual 

commodity, 

indicates the 

predominant 

business 

purpose23

Y=Yes

N=No

cftcBatch/cftcForm40/nature

OfBusiness@isPrimary

221. Reporting 

Trader

Authorizatio

n Indicator

Question 20 Yes Indicates if the 

submitter is duly 

authorized by the 

reporting trader

Y = authorized

N = not authorized

cftcBatch/cftcForm40/contac

t@isAuthorizedRepresentati

ve

 

23 When responding to question 19, reporting traders should use their discretion in determining the predominant business purpose. A 

“predominant business purpose” may include, for example, the business purpose that is predominant in terms of monetary value, or other business 

purpose deemed predominant by a reporting trader. 
June 30, 2014 Page 257 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

to provide the 

information and 

representations 

submitted on this 

Form 40, and 

that information 

and 

representations 

are true and 

correct

222. Authorized 

Representati

ve Last 

Name

Question 20 Yes Surname of the 

authorized 

representative

cftcBatch/cftcForm40/contac

t@lastName

223. Authorized 

Representati

ve First 

Name

Question 20 Yes Given or first in 

order name of the 

authorized 

representative

cftcBatch/cftcForm40/contac

t@firstName

224. Authorized 

Representati

ve Middle 

Name

Question 20 Yes Middle name of 

the authorized 

representative

cftcBatch/cftcForm40/contac

t@middleName

225. Authorized 

Representati

ve Name 

Suffix

Question 20 Yes Generation or 

name suffix of 

the authorized 

representative

cftcBatch/cftcForm40/contac

t@nameSuffix

226. Authorized 

Representati

ve Position

Question 20 Yes Job position of 

the authorized 

representative

cftcBatch/cftcForm40/contac

t@titleOrPosition
June 30, 2014 Page 258 of 273

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

227. Authorized 

Representati

ve Submitted 

on behalf of

Question 20 Yes Reporting Trader 

Name 40 was 

submitted on 

behalf of

cftcBatch/cftcForm40@onB

ehalfOf

228. Date of 

Submission

Question 20 Yes Date [indicated 

by the authorized 

representative] 

that the form was 

submitted to 

CFTC

cftcBatch/cftcForm40@sub

mitDate
Page 259 of 273

Appendix A: SFTP Account Registration 

To register an SFTP account:

1. Browse to the Account Creation Page on the Commission’s website, 

https://services.cftc.gov/CreateCFTCAccount/CreateLoginAccount.aspx.

2. Confirm that you have read the agreement and agree to abide by its terms by selecting the Agreement to Terms of Use check

box and clicking Agree.
June 30, 2014 Page 260 of 273
June 30, 2014 Page 261 of 273

3. On the Request Account Creation page, supply the following information:

 Requester first name – The first name of the user requesting the account

 Requester last name – The last name (or surname) of the user requesting the account

 Company name – The Company that will be supplying the data to the CFTC

 Email address – The email address of the contact. The email address must be from the domain that will be submitting 

data; the Reporting Entities domain. Third party email domains (e.g., hotmail, yahoo, gmail) will not be accepted.

 Telephone – The requester’s phone number, should CFTC need to confirm the user via a phone call.

 Fax – Not required

Once you have submitted the data, the request will be passed to CFTC’s Office of Data and Technology for approval.

4. Once the account creation is approved, you will be sent an email with a link to confirm the request. Note the three-letter 

Alpha Code that must be used for all data submissions made by this company to the CFTC.
June 30, 2014 Page 262 of 273

5. Click the confirmation link in the email (or copy the URL into your web browser).

6. On the Confirm Your Request screen, confirm the account creation request by typing in the three-letter Alpha Code

supplied in the email and click Confirm.
June 30, 2014 Page 263 of 273

A message will display indicating that your request has been submitted.

You will receive two follow-on emails from the CFTC. Each email will address guidelines for using this account. The first email will 

contain your new user ID and instructions on converting your FTP Account to a Secure FTP Account. 
June 30, 2014 Page 264 of 273

7. All reporting entities must exchange their Public Keys with the CFTC to activate their Secure FTP account. Send your Public 

Key to FTPSupport@cftc.gov. 

You will then receive the second email, which will contain your new password for the FTP account.
June 30, 2014 Page 265 of 273

Appendix B: Supplemental Lists

Supplemental List I: List of Business Sectors and Subsectors24

Business Sector Name Business Sector 

Code

Business Subsector Name Business Subsector 

Code

Agriculture and Forestry SA Oilseed Farming SSA

Agriculture and Forestry SA Grain Farming SSB

Agriculture and Forestry SA Fruit and Tree Nut Farming SSC

Agriculture and Forestry SA Other Crop Farming (Specify) SSD

Agriculture and Forestry SA Cattle Ranching and Farming SSE

Agriculture and Forestry SA Hog and Pig Farming SSF

Agriculture and Forestry SA Poultry and Egg Production SSG

Agriculture and Forestry SA Sheep and Goat Farming SSH

Agriculture and Forestry SA Other Animal Production SSI

Agriculture and Forestry SA Forestry, Logging, or Timber Production SSJ

Agriculture and Forestry SA Cooperative SSK

Agriculture and Forestry SA Other (Specify) SSL

Mining, Oil and Natural Gas Extraction SB Oil Exploration/Production SSM

Mining, Oil and Natural Gas Extraction SB Natural Gas Exploration/Production SSN

Mining, Oil and Natural Gas Extraction SB Coal Mining SSO

Mining, Oil and Natural Gas Extraction SB Precious Metal Mining SSP

Mining, Oil and Natural Gas Extraction SB Non-Precious Metal Mining SSQ

Mining, Oil and Natural Gas Extraction SB Other (Specify) SSR

Utilities SC Utility/Cooperative SSS

 

24 When reviewing the Appendix B Supplemental Lists in this Technical Document, reporting parties should also review and consult the OCR 

Final Rule, including the requirements of Form 40 included in the appendix thereto. This Form 40 is the basis for these Appendix B Supplemental 

Lists. Reporting parties should visit this link to view the OCR Final Rule on the Federal Register: 

https://www.federalregister.gov/articles/2013/11/18/2013-26789/ownership-and-control-reports-forms-102102s-4040s-and-71

Visit this link to view a pdf copy of the OCR Final Rule: http://www.cftc.gov/ucm/groups/public/@lrfederalregister/documents/file/2013-

26789a.pdf
June 30, 2014 Page 266 of 273

Business Sector Name Business Sector 

Code

Business Subsector Name Business Subsector 

Code

Utilities SC Electric Power Generation SST

Utilities SC Local Distribution Company SSU

Utilities SC Natural Gas Distribution SSV

Utilities SC Other (Specify) SSW

Construction SD Building Construction SSX

Construction SD Heavy and Civil Engineering Construction SSY

Construction SD Other (Specify) SSZ

Manufacturing, Refining and Processing SE Animal Food Manufacturing SSAA

Manufacturing, Refining and Processing SE Grain Milling SSAB

Manufacturing, Refining and Processing SE Oilseed Milling SSAC

Manufacturing, Refining and Processing SE Sugar and Confectionery Product 

Manufacturing

SSAD

Manufacturing, Refining and Processing SE Fruit and Vegetable Preserving and 

Specialty Food Manufacturing

SSAE

Manufacturing, Refining and Processing SE Dairy Product Manufacturing SSAF

Manufacturing, Refining and Processing SE Animal Slaughtering and Processing SSAG

Manufacturing, Refining and Processing SE Bakeries SSAH

Manufacturing, Refining and Processing SE Other Food Manufacturing SSAI

Manufacturing, Refining and Processing SE Beverage Manufacturing Textile Mills SSAJ

Manufacturing, Refining and Processing SE Textile Product Mills SSAK

Manufacturing, Refining and Processing SE Apparel Manufacturing SSAL

Manufacturing, Refining and Processing SE Wood Product Manufacturing SSAM

Manufacturing, Refining and Processing SE Paper Manufacturing SSAN

Manufacturing, Refining and Processing SE Pulp, Paper, and Paperboard Mills SSAO

Manufacturing, Refining and Processing SE Petroleum and Coal Products Manufacturing SSAP

Manufacturing, Refining and Processing SE Renewable Fuels Manufacturing SSAQ

Manufacturing, Refining and Processing SE Petrochemical/Chemical Manufacturing SSAR

Manufacturing, Refining and Processing SE Plastics and Rubber Products 

Manufacturing

SSAS

Manufacturing, Refining and Processing SE Natural Gas Processing SSAT
June 30, 2014 Page 267 of 273

Business Sector Name Business Sector 

Code

Business Subsector Name Business Subsector 

Code

Manufacturing, Refining and Processing SE Precious Metal Processor/Smelter SSAU

Manufacturing, Refining and Processing SE Non-Precious Metal Processor SSAV

Manufacturing, Refining and Processing SE Metals Fabricator SSAW

Manufacturing, Refining and Processing SE Other (Specify) SSAX

Wholesale Trade SF Lumber and Other Construction Materials 

Merchant Wholesalers

SSAY

Wholesale Trade SF Metal and Mineral Merchant Dealer SSAZ

Wholesale Trade SF Grocery and Related Product Merchant 

Wholesaler

SSBA

Wholesale Trade SF Farm Product Raw Material Merchant 

Wholesalers

SSBB

Wholesale Trade SF Chemical and Allied Products Merchant 

Wholesalers

SSBC

Wholesale Trade SF Petroleum and Petroleum Products Merchant 

Wholesalers

SSBD

Wholesale Trade SF Natural Gas, Power Marketer SSBE

Wholesale Trade SF Importer/Exporter (specify commodities) SSBF

Wholesale Trade SF Other (Specify SSBG

Retail Trade SG Building Materials and Supplies Dealers SSBH

Retail Trade SG Food and Beverage Stores SSBI

Retail Trade SG Jeweler/Precious Metals Retailer SSBJ

Retail Trade SG Vehicle Fuel Retailer/Convenience Store 

Operator

SSBK

Retail Trade SG Fuel Dealers SSBL

Retail Trade SG Other (Specify) SSBM

Transportation and Warehousing SH Air Transport SSBN

Transportation and Warehousing SH Trucking SSBO

Transportation and Warehousing SH Pipeline Transportation of Crude Oil SSBP

Transportation and Warehousing SH Pipeline Transportation of Natural Gas SSBQ

Transportation and Warehousing SH Farm Product Warehousing and Storage SSBR
June 30, 2014 Page 268 of 273

Business Sector Name Business Sector 

Code

Business Subsector Name Business Subsector 

Code

Transportation and Warehousing SH Energy Distributor (warehousing, storage) SSBS

Transportation and Warehousing SH Other (Specify) SSBT

End User (NOTE: May not be the 

only/primary subsector selected)

SI Metals End User (Construction Co., Brass 

Mill, Steel Mill)

SSBU

End User (NOTE: May not be the only/primary 

subsector selected)

SI Emissions End User (Factory, Industrial Cos.) SSBV

End User (NOTE: May not be the 

only/primary subsector selected)

SI Petroleum End User (Airline Cos. 

Municipalities, Industrial Cos., Trucking 

Cos.)

SSBW

Information SJ Other (Specify) SSBX

Real Estate SK Other (Specify) SSBY

Arts, Entertainment, and Recreation SL Performing Arts Companies SSBZ

Arts, Entertainment, and Recreation SL Promoters of Performing Arts SSCA

Arts, Entertainment, and Recreation SL Agents and Managers for Artists and 

Entertainers

SSCB

Arts, Entertainment, and Recreation SL Independent Artists, Writers, Performers SSCC

Arts, Entertainment, and Recreation SL Other (Specify) SSCD

Accommodation and Food Services SM Food Services SSCE

Accommodation and Food Services SM Other (Specify) SSCF

Public Administration SN Administration of Environmental Quality 

Programs

SSCG

Public Administration SN Administration of Economic Programs SSCH

Public Administration SN Other (Specify) SSCI
June 30, 2014 Page 269 of 273

Supplemental List II: List of Commodity Group and Individual Commodities

Commodity Group Name Commodity Group 

Code

Individual Commodity Name Individual 

Commodity Code

Base Metals N25 Copper 085

Base Metals N25 Steel 192

Chemicals N40

Currency F10

Dairy Products A25 Butter 050

Dairy Products A25 Milk 052

Dairy Products A25 Cheese 063

Electricity And Sources N16 Uranium 016

Electricity And Sources N16 Coal 024

Electricity And Sources N16 Electricity 064

Emissions N60

Equities And Equity Indicies XXX

Fiber A40 Cotton 033

Foodstuffs/Softs A50 Coffee 083

Foodstuffs/Softs A50 Frozen Concentrated Orange Juice 040

Foodstuffs/Softs A50 Sugar 080

Foodstuffs/Softs A50 Cocoa 073

Grains A10 Wheat 001

Grains A10 Corn 002

Grains A10 Oats 004

Grains A10 Rice 039

Interest Rates - U.S. Treasury F30

Livestock/Meat Products A20 Live Cattle 057

Livestock/Meat Products A20 Pork Bellies 056

Livestock/Meat Products A20 Feeder Cattle 061

Livestock/Meat Products A20 Lean Hogs 054

Natural Gas And Products N13 Natural Gas 023
June 30, 2014 Page 270 of 273

Commodity Group Name Commodity Group 

Code

Individual Commodity Name Individual 

Commodity Code

Natural Gas And Products N13 Natural Gas Liquids 066

Oilseed And Products A30 Soybeans 005

Oilseed And Products A30 Soybean Oil 007

Oilseed And Products A30 Soybean Meal 026

Other (Specify) XXX

Other Agricultural A90

Other Financial Instruments F90

Petroleum And Products N10 Jet Fuel 262

Petroleum And Products N10 Ethanol 025

Petroleum And Products N10 Biodiesel 036

Petroleum And Products N10 Fuel Oil 021

Petroleum And Products N10 Heatingoil-Diesel-Gasoil 022

Petroleum And Products N10 Gasoline 111

Petroleum And Products N10 Naphtha 032

Petroleum And Products N10 Crude Oil 067

Petroleum And Products N10

Plastics N50

Precious Metals N20 Palladium 075

Precious Metals N20 Platinum 076

Precious Metals N20 Silver 084

Precious Metals N20 Gold 088

Real Estate E10

Weather N70

Wood Products N30 Lumber 058

Wood Products N30 Pulp 069
June 30, 2014 Page 271 of 273

Supplemental List III: List of Business Purposes of Commodity Derivatives Trading

Business 

Purpose 

Code

Business Purpose Name Business Purpose Description Business Purpose Example

11 Offsetting Cash or Spot Market 

Input Price Risk

Using derivative markets for 

commodities that are direct inputs or 

purchases for your business so as to 

offset price risk associated with your 

purchase of these inputs

You are a grain processor, so you use 

wheat futures to offset the price risk 

incidental to your cash purchases of wheat

12 Offsetting Cash or Spot Market 

Output Price Risk

Using derivative markets for 

commodities that are direct outputs or 

sales of your business so as to offset 

price risk associated with your sale of 

these outputs

You are a gasoline refiner, so you use 

gasoline futures to offset price risk 

associated with your production of gasoline

13 Offsetting Other Cash or Spot 

Market Price Risks (Cross Price 

Risk)

Using derivative markets for a 

commodity that is not a direct input or 

output of your business, but which has 

significant price correlations with the 

direct inputs or outputs of your business

You manufacture ethanol which is used as 

an additive in and competitor for gasoline 

as a combustive fuel. While you neither 

directly consume nor produce gasoline, you 

may find that the price you receive for your 

ethanol product is highly correlated with 

the price of gasoline, and therefore you 

reduce ethanol price risk by using gasoline 

futures contracts

14 Other Physical Risk Management 

Strategies

Managing other price risks incidental to 

the operation of your business or 

physical assets through the use of 

commodity derivative markets

You are a manufacturer with significant 

international sales, so you use foreign 

currency futures to offset risks associated 

with changes in the competitiveness of your 

exports and therefore the value of your 

physical assets such as production plants, 

land, machinery, etc

15 Client Futures/Options Trading Fulfilling customer/client desire for 

portfolio diversification or exposure to 

various asset classes through your 

You collect funds and execute trading 

strategies through the use of futures/options 

markets at the expressed intent and for the 
June 30, 2014 Page 272 of 273

Business 

Purpose 

Code

Business Purpose Name Business Purpose Description Business Purpose Example

activity as a Commodity Pool Operator, 

Commodity Trading Advisor, or other 

similar role

sole benefit of clients

16 Managing Client Swaps Exposure Reducing risk stemming from holding 

or executing swaps contracts on behalf 

of clients or customers through the use 

of futures/options markets

You sell crude oil swaps to a client and 

agree to accept the risk inherent in the 

index price. You offset this risk through 

purchases of crude oil futures, in effect 

transferring price risk from the client to 

another market participant

17 Making Markets/Providing 

Liquidity

Engaging in derivatives transactions to 

assume risk and help transfer 

ownership of derivative positions from 

one market participant to another, 

realizing the bid-ask spread as the 

return

You accept risk by buying and selling 

futures/options contracts so that other 

traders can move into and out of positions 

when they wish. You then find other traders 

willing to take the other side of those 

transactions

18 Arbitrage Using derivative markets as part of a 

strategy designed to realize risk-free 

profit from pricing anomalies

You realize that the wheat futures contract 

is trading at a discount (even after 

considering storage, transport, etc.) relative 

to the wheat cash price, and therefore find 

it profitable to purchase the wheat futures 

contract, take delivery, and then resell the 

wheat in the cash market for a risk-free 

profit

19 Establishing Price Exposure Using derivative markets as a way to 

express your belief in the future 

movement of market prices. This 

strategy does not involve offsetting 

risks incidental to your business, but 

instead involves directional trading

You conduct research and believe that 

crude oil prices are due to rise, so you take 

long futures positions in crude oil to profit 

from your predictions

20 Financial Asset Management Using derivatives to diversify, You hold Treasury bonds as a component 
June 30, 2014 Page 273 of 273

Business 

Purpose 

Code

Business Purpose Name Business Purpose Description Business Purpose Example

rebalance, or otherwise allocate 

financial assets so that risks to the value 

of the investment portfolio are reduced. 

This strategy is used by entities such as 

pension funds and endowments to 

manage overall risk to their financial 

portfolios

of your investment portfolio, and use 

futures contracts to reduce overall portfolio 

risk that would result from falling bond 

prices

21 Managing Proprietary Swaps 

Exposure

Reducing risk stemming from your 

proprietary holding or execution of 

swaps contracts through the use of 

futures/options markets

You trade interest rate swaps as part of 

your business or investment strategy, and 

offset some of the risk inherent in those 

swaps through your use of Eurodollar 

futures markets

22 Other: Specify List and explain your business purpose 

if the above categories do not 

adequately describe the reason you 

trade in a particular commodity 

derivative market