Form 102 Validation Rules Version 2.0 - Final

Version Date Rule Number Change

2 6/1/2016 N/A

Selected Common Rules were split into individual rules for each form type. The Extended Rule 

Number column indicates the new rule numbers. Numbering convention: 4 series is for Form 

102A, 5 series is for Form 102B, 6 series is for Form 102S. 

2 6/1/2016 301

Split into individual rules for each form type: Rule 4301 for Form 102A, Rule 5301 for Form 102B, 

and Rule 6301 for Form 102S. Rule 6301 is currently inactive based on CFTC No-Action Letter No. 

16-32.

2 6/1/2016 302 Added isCounterparty to the list of attributes.

2 6/1/2016 304

Split into individual rules for each form type: Rule 4304 for Form 102A, Rule 5304 for Form 102B, 

and Rule 6304 for Form 102S. 

2 6/1/2016 305

Split into individual rules for each form type: Rule 4305 for Form 102A, Rule 5305 for Form 102B, 

and Rule 6305 for Form 102S. 

2 6/1/2016 306

Split into individual rules for each form type: Rule 4306 for Form 102A, Rule 5306 for Form 102B, 

and Rule 6306 for Form 102S. 

2 6/1/2016 307

Split into individual rules for each form type: Rule 4307 for Form 102A, Rule 5307 for Form 102B, 

and Rule 6307 for Form 102S. 

2 6/1/2016 311

Split into individual rules for each form type: Rule 4311 for Form 102A, Rule 5311 for Form 102B, 

and Rule 6311 for Form 102S. 

2 6/1/2016 312

This error has been changed from internal to external, upon implementation of an LEI reference 

database at CFTC. If an LEI is provided, it will be checked against LEI provider data for validity.

2 6/1/2016 313

This error has been changed from internal to external, upon implementation of an LEI reference 

database at CFTC. If an LEI is provided, it will be checked against LEI provider data for validity.

2 6/1/2016 314

This error has been changed from internal to external, upon implementation of an LEI reference 

database at CFTC. If an LEI is provided, it will be checked against LEI provider data for validity.

2 6/1/2016 315

Split into individual rules for each form type: Rule 4315 for Form 102A, Rule 5315 for Form 102B, 

and Rule 6315 for Form 102S. 

2 6/1/2016 316

Split into individual rules for each form type: Rule 4316 for Form 102A, Rule 5316 for Form 102B, 

and Rule 6316 for Form 102S. 

2 6/1/2016 317

Split into individual rules for each form type: Rule 4317 for Form 102A, Rule 5317 for Form 102B, 

and Rule 6317 for Form 102S. 

2 6/1/2016 318

Split into individual rules for each form type: Rule 4318 for Form 102A, Rule 5318 for Form 102B, 

and Rule 6318 for Form 102S. Rule 6318 is currently inactive based on CFTC No-Action Letter No. 

16-32.

2 6/1/2016 320

Split into individual rules for each form type: Rule 4320 for Form 102A, Rule 5320 for Form 102B, 

and Rule 6320 for Form 102S. 

2 6/1/2016 321

Split into individual rules for each form type: Rule 4321 for Form 102A, Rule 5321 for Form 102B, 

and Rule 6321 for Form 102S. 

2 6/1/2016 322

Split into individual rules for each form type: Rule 4322 for Form 102A, Rule 5322 for Form 102B, 

and Rule 6322 for Form 102S. 

2 6/1/2016 323

Split into individual rules for each form type: Rule 4323 for Form 102A, Rule 5323 for Form 102B, 

and Rule 6323 for Form 102S. 

2 6/1/2016 324

Split into individual rules for each form type: Rule 4324 for Form 102A, Rule 5324 for Form 102B, 

and Rule 6324 for Form 102S. 

Change Log Page 1
Form 102 Validation Rules Version 2.0 - Final

2 6/1/2016 326

Split into individual rules for each form type: Rule 4326 for Form 102A, Rule 5326 for Form 102B, 

and Rule 6326 for Form 102S. 

2 6/1/2016 330 Added to require country field when Foreign Privacy Exception attribute is marked as yes. 2 6/1/2016 331 Added to require country field when Foreign Privacy Exception attribute is marked as yes. 2 6/1/2016 426

Modified to check for required fields for Trading Account Owner only if Foreign Privacy Exception 

is 'N'.

2 6/1/2016 427

Modified to check for required fields for Trading Account Owner only if Foreign Privacy Exception 

is 'N'.

2 6/1/2016 428

Modified to check for required fields for Trading Account Owner only if Foreign Privacy Exception 

is 'N'.

2 6/1/2016 429

Modified to check for required fields for Trading Account Owner only if Foreign Privacy Exception 

is 'N'.

2 6/1/2016 433

Modified to check for required fields for Trading Account Controller only if Foreign Privacy 

Exception is 'N' and if Client Reporting Issue is '0'.

2 6/1/2016 434

Modified to check for required fields for Trading Account Controller only if Foreign Privacy 

Exception is 'N' and if Client Reporting Issue is '0'. The contact fields that were made optional in 

CFTC No-Action Letter No. 16-33 are currently not required (indicated by strike-through).

2 6/1/2016 443 For a Trading Account Owner, the Foreign Privacy Law Exception Indicator is required. 2 6/1/2016 444 For a Trading Account Controller the Foreign Privacy Law Exception Indicator is required. 2 6/1/2016 445 For a Trading Account Controller the Client Reporting Issue Indicator is required. 2 6/1/2016 508

Modified to check for required fields for Volume Threshold Account Owner only if Foreign Privacy 

Exception is 'N'.

2 6/1/2016 509

Modified to check for required fields for Volume Threshold Account Owner only if Foreign Privacy 

Exception is 'N'.

2 6/1/2016 510

Modified to check for required fields for Volume Threshold Account Owner only if Foreign Privacy 

Exception is 'N'.

2 6/1/2016 511

Modified to check for required fields for Volume Threshold Account Owner only if Foreign Privacy 

Exception is 'N'.

2 6/1/2016 513

Modified to check for required fields for Volume Threshold Account Controller only if Foreign 

Privacy Exception is 'N' and if Client Reporting Issue is '0'.

2 6/1/2016 514

Modified to check for required fields for Volume Threshold Account Controller only if Foreign 

Privacy Exception is 'N' and if Client Reporting Issue is '0'. The contact fields that were made 

optional in CFTC No-Action Letter No. 16-33 are currently not required (indicated by strikethrough).

2 6/1/2016 515 For a Volume Threshold Account Controller the Client Reporting Issue Indicator is required. 2 6/1/2016 517 For a Volume Threshold Account Owner, the Foreign Privacy Law Exception Indicator is required. 2 6/1/2016 518

For a Volume Threshold Account Controller the Foreign Privacy Law Exception Indicator is 

required.

2 6/1/2016 602

Modified to be an external warning. Per CFTC No-Action Letter No. 16-32, this information is 

optional.

Change Log Page 2
Form 102 Validation Rules Version 2.0 - Final

2 6/1/2016 603

Modified to be an external warning. Per CFTC No-Action Letter No. 16-32, this information is 

optional.

2 6/1/2016 604

Modified to be an external warning. Per CFTC No-Action Letter No. 16-32, this information is 

optional.

2 6/1/2016 605

Modified to be an external warning. Per CFTC No-Action Letter No. 16-32, this information is 

optional.

2 6/1/2016 606

Modified to be an external warning. Per CFTC No-Action Letter No. 16-32, this information is 

optional.

2 6/1/2016 607

Modified to be an external warning. Per CFTC No-Action Letter No. 16-32, this information is 

optional.

2 6/1/2016 608

Modified to be an external warning. Per CFTC No-Action Letter No. 16-32, this information is 

optional.

2 6/1/2016 609

Changed to inactive, due to CFTC No-Action Letter No. 16-32: Consolidated Account Controller is 

optional.

2 6/1/2016 610

Modified to be an external warning. Per CFTC No-Action Letter No. 16-32, this information is 

optional.

2 6/1/2016 611

Modified to be an external warning. Per CFTC No-Action Letter No. 16-32, this information is 

optional.

2 6/1/2016 612 Changed to inactive - latest Technical Guidance makes these fields optional

2 6/1/2016 613 Changed to inactive - latest Technical Guidance makes this field optional

2 6/1/2016 614 New validation for counterparty

2 6/1/2016 615

New validation for counterparty. Rule made inactive, due to CFTC No-Action Letter No. 16-32: 

Consolidated Account Controller and Owner data is optional.

2 6/1/2016 616 New validation for counterparty

2 6/1/2016 617 New validation for counterparty

2 6/1/2016 618 New validation for counterparty

2 6/1/2016 622 New validation for counterparty

2 6/1/2016 700-series

Where the optionalOrSuppFieldsSeparatelyReported indicator is set to 'Y', the data should be 

available in LEI provider data. These rules had previously been inactivated pending 

implementation of LEI reference database. Rules have been changed to external warnings and 

will provide feedback where data cannot be matched to the LEI database.

2 6/1/2016 701

Split into individual rules for each form type: Rule 4701 for Form 102A, Rule 5701 for Form 102B, 

and Rule 6701 for Form 102S. 

2 6/1/2016 702

Split into individual rules for each form type: Rule 4702 for Form 102A, Rule 5702 for Form 102B, 

and Rule 6702 for Form 102S. 

2 6/1/2016 703

Split into individual rules for each form type: Rule 4703 for Form 102A, Rule 5703 for Form 102B, 

and Rule 6703 for Form 102S. 

2 6/1/2016 704

Split into individual rules for each form type: Rule 4704 for Form 102A, Rule 5704 for Form 102B, 

and Rule 6704 for Form 102S. 

Legend:

In the following tabs, rules that are inactive due to CFTC No-Action Letter No. 16-32 or CFTC No-Action Letter No. 16-33 are formatted 

with strike-through.

Change Log Page 3
Form 102 Validation Rules Version 2.0 - Final

Rule Number Rule Description Valid Values Error Message XML Path XML Condition

101 FormNumber should be '102' for Form 102 

submissions.

102 Invalid Form Number cftcBatch/cftcForm102/@formNumber cftcBatch/cftcForm102/@formNumber

102 AccountCategory for Form102 should always be 

populated and can be only 'SA' or 'VT' or 'CA'.

SA = Special Account (102A), VT = 

Volume Threshold Account (102B), CA 

= Consolidated Account (102S)

Invalid Reportable Account type Indicator cftcBatch/cftcForm102/@accountCategory cftcBatch/cftcForm102/@formNumber='102'

103 ReportingFirmEntityType can only be 'LE' at the 

Form102coversheet level.

 'LE' Invalid Reporting Firm Entity Type. 

ReportingFirmEntityType should only be 'LE' at 

the Form102 coversheet level

cftcBatch/cftcForm102/@entityType cftcBatch/cftcForm102/@formNumber='102'

104 Form Coversheet required fields when 

OptionalOrSuppFieldsSeparatelyReported='N'.

Missing Required fields cftcBatch/cftcForm102/@legalEntityName 

cftcBatch/cftcForm102/@street 

cftcBatch/cftcForm102/@city 

cftcBatch/cftcForm102/@state

cftcBatch/cftcForm102/@country 

cftcBatch/cftcForm102/@postalCode

cftcBatch/cftcForm102/contact/@lastName 

cftcBatch/cftcForm102/contact/@firstName 

cftcBatch/cftcForm102/contact/@titleOrPosition

cftcBatch/cftcForm102/contact/@telephone

cftcBatch/cftcForm102/contact/@email

cftcBatch/cftcForm102/@website

cftcBatch/cftcForm102/@optionalOrSuppFieldsSeparatelyReported='N' 

cftcBatch/cftcForm102/contact/@isAuthorizedRepresentative='N'

105 Required Reporting Firm Type. Missing Reporting Firm Type. At least one 

reportingFirmtype (futures commission 

merchant/ clearing member/ Foreign Broker/ 

Swap Dealer/ Other) needs to be identified if 

OptionalOrSuppFieldsSeparatelyReported =‘N’.

cftcBatch/cftcForm102/@isFCM or 

cftcBatch/cftcForm102/@isCM or 

cftcBatch/cftcForm102/@isFB or 

cftcBatch/cftcForm102/@isSwapDealer or 

cftcBatch/cftcForm102/@isOther

cftcBatch/cftcForm102/@optionalOrSuppFieldsSeparatelyReported='N'

106 Required Reporting Firm Type Description when 

Reporting Firm Type is selected as "Other".

Missing description for Other reporting firm type. 

(You have selected Other in reporting firm type.)

cftcBatch/cftcForm102/@otherDescription cftcBatch/cftcForm102/@optionalOrSuppFieldsSeparatelyReported='N'

cftcBatch/cftcForm102/@isOther='Y'

107 Required Signature Information Missing Signature Information cftcBatch/cftcForm102/@isSigned 

cftcBatch/cftcForm102/@onBehalfOf

cftcBatch/cftcForm102/@submitDate

Form 102 Coversheet Rules Page 4
Form 102 Validation Rules Version 2.0 - Final

Rule Number RuleDescription Valid 

Values

Error Message XML Path XML Condition

201 Required authorized representative information Missing Required Signature information cftcBatch/cftcForm102/contact@lastName 

cftcBatch/cftcForm102/contact/@firstName

cftcBatch/cftcForm102/contact/@titleOrPosition

cftcBatch/cftcForm102/contact/@isAuthorizedRepresentative='Y'

202 For every Form 102 submission please provide one 

and only one signature information

For every Form 102 submission please 

provide one and only one signature 

information

cftcBatch/cftcForm102/contact cftcBatch/cftcForm102/contact/@isAuthorizedRepresentative='Y'

Authorized Representative Rules Page 5
Form 102 Validation Rules Version 2.0 - Final

Qsn # in Final 

Rule

Rule Number Extended Rule 

Number

Rule Description Valid Values Error Message XML Path XML Condition

301 4301 For an non Omnibus account, Owner and controller should be 

reported

For an non Omnibus account , Owner and controller should be reported cftcBatch/cftcForm102/relatedEntity/@isController

cftcBatch/cftcForm102/relatedEntity/@isOwner 

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/@originReason<>'CC' 

5301 For an non Omnibus account, Owner and controller should be 

reported

For an non Omnibus account , Owner and controller should be reported cftcBatch/cftcForm102/relatedEntity/@isController

cftcBatch/cftcForm102/relatedEntity/@isOwner 

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/@originReason<>'CC' 

6301 For an non Omnibus account, Owner and controller should be 

reported

For an non Omnibus account , Owner and controller should be reported cftcBatch/cftcForm102/relatedEntity/@isController

cftcBatch/cftcForm102/relatedEntity/@isOwner 

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/@originReason<>'CC' 

302 If a related entity is provided , at least one of the following must be 

set to 'Y': isOriginator, isOwner, isController, isCounterparty, or 

isFCM.

If a related entity is provided, at least one of the following must be set to 'Y': 

Originator, Owner,Controller, isCounterparty, or U.S Futures Clearing Merchant.

cftcBatch/cftcForm102/relatedEntity/@isOriginator

cftcBatch/cftcForm102/relatedEntity/@isOwner

cftcBatch/cftcForm102/relatedEntity/@isController 

cftcBatch/cftcForm102/relatedEntity/@isCounterparty 

cftcBatch/cftcForm102/relatedEntity/@isFCM

cftcBatch/cftcForm102/relatedEntity 

303 If a related account is provided , at least one of the following must 

be set to 'Y': isOmnibus, isTradingAccount, or isSpecialAccount.

If a related account is provided, at least one of the following must be set to 'Y': 

isOmnibus, isTradingAccount, or isSpecialAccount.

cftcBatch/cftcForm102/relatedAccount/@isOmnibus

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount

cftcBatch/cftcForm102/relatedAccount/@isSpecialAccount

cftcBatch/cftcForm102/relatedAccount

304 4304 If a related account related entity is provided, at least one of the 

following must be set to 'Y': isOriginator, isOwner, or isController.

If a related account related entity is provided, at least one of the following must be set 

to 'Y': Originator, Owner, or Controller.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOriginator

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isController

cftcBatch/cftcForm102/relatedAccount/relatedEntity

5304 If a related account related entity is provided, at least one of the 

following must be set to 'Y': isOriginator, isOwner, or isController.

If a related account related entity is provided, at least one of the following must be set 

to 'Y': Originator, Owner, or Controller.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOriginator

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isController

cftcBatch/cftcForm102/relatedAccount/relatedEntity

6304 If a related account related entity is provided, at least one of the 

following must be set to 'Y': isOriginator, isOwner, or isController.

If a related account related entity is provided, at least one of the following must be set 

to 'Y': Originator, Owner, or Controller.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOriginator

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isController

cftcBatch/cftcForm102/relatedAccount/relatedEntity

305 4305 If a related account related entity is provided, isFCM indicator must 

not be set to 'Y'

If a related account related entity is provided, isFCM indicator must be set to 'N' cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isFCM cftcBatch/cftcForm102/relatedAccount/relatedEntity

5305 If a related account related entity is provided, isFCM indicator must 

not be set to 'Y'

If a related account related entity is provided, isFCM indicator must be set to 'N' cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isFCM cftcBatch/cftcForm102/relatedAccount/relatedEntity

6305 If a related account related entity is provided, isFCM indicator must 

not be set to 'Y'

If a related account related entity is provided, isFCM indicator must be set to 'N' cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isFCM cftcBatch/cftcForm102/relatedAccount/relatedEntity

306 4306 For an Omnibus account, Owner and controller should not be 

reported

For an Omnibus account , Owner and controller should not be reported cftcBatch/cftcForm102/relatedEntity/@isController

cftcBatch/cftcForm102/relatedEntity/@isOwner 

OR

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isController 

cftcBatch/cftcForm102/@isOmnibus='Y' 

 OR 

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='Y'

5306 For an Omnibus account, Owner and controller should not be 

reported

For an Omnibus account , Owner and controller should not be reported cftcBatch/cftcForm102/relatedEntity/@isController

cftcBatch/cftcForm102/relatedEntity/@isOwner 

OR

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isController 

cftcBatch/cftcForm102/@isOmnibus='Y' 

 OR 

 cftcBatch/cftcForm102/relatedAccount/@isOmnibus='Y'

6306 For an Omnibus account, Owner and controller should not be 

reported

For an Omnibus account , Owner and controller should not be reported cftcBatch/cftcForm102/relatedEntity/@isController

cftcBatch/cftcForm102/relatedEntity/@isOwner 

 OR

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isController 

cftcBatch/cftcForm102/@isOmnibus='Y' 

OR 

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='Y'

Form 102 Common Rules Page 6
Form 102 Validation Rules Version 2.0 - Final

307 4307 Contact information must not be provided when EntityType is 'NP' Contact information must not be provided when EntityType is 'NP' cftcBatch/cftcForm102/relatedEntity/contact

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact

cftcBatch/cftcForm102/relatedEntity/@entityType='NP' 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='NP'

5307 Contact information must not be provided when EntityType is 'NP' Contact information must not be provided when EntityType is 'NP' cftcBatch/cftcForm102/relatedEntity/contact

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact

cftcBatch/cftcForm102/relatedEntity/@entityType='NP' 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='NP'

6307 Contact information must not be provided when EntityType is 'NP' Contact information must not be provided when EntityType is 'NP' cftcBatch/cftcForm102/relatedEntity/contact

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact

cftcBatch/cftcForm102/relatedEntity/@entityType='NP' 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='NP'

311 4311 Identify duplicate forms within a file. Duplicate records exist in the file. cftcBatch/cftcForm102/@reportingIdentifier

cftcBatch/cftcForm102/@formNumber

cftcBatch/cftcForm102/@accountCategory

cftcBatch/cftcForm102/@accountNumber 

cftcBatch/cftcForm102/@informationType

cftcBatch/cftcForm102/@reportingIdentifier

cftcBatch/cftcForm102/@formNumber

cftcBatch/cftcForm102/@accountCategory

cftcBatch/cftcForm102/@accountNumber 

cftcBatch/cftcForm102/@informationType

5311 Identify duplicate forms within a file. Duplicate records exist in the file. cftcBatch/cftcForm102/@reportingIdentifier

cftcBatch/cftcForm102/@formNumber

cftcBatch/cftcForm102/@accountCategory

cftcBatch/cftcForm102/@accountNumber 

cftcBatch/cftcForm102/@informationType

cftcBatch/cftcForm102/@reportingIdentifier

cftcBatch/cftcForm102/@formNumber

cftcBatch/cftcForm102/@accountCategory

cftcBatch/cftcForm102/@accountNumber 

cftcBatch/cftcForm102/@informationType

6311 Identify duplicate forms within a file. Duplicate records exist in the file. cftcBatch/cftcForm102/@reportingIdentifier

cftcBatch/cftcForm102/@formNumber

cftcBatch/cftcForm102/@accountCategory

cftcBatch/cftcForm102/@accountNumber 

cftcBatch/cftcForm102/@informationType

cftcBatch/cftcForm102/@reportingIdentifier

cftcBatch/cftcForm102/@formNumber

cftcBatch/cftcForm102/@accountCategory

cftcBatch/cftcForm102/@accountNumber 

cftcBatch/cftcForm102/@informationType

312 The legal entity identifier (LEI) should not be null in LEI database 

when optionalOrSuppFieldsSeparatelyReported indicator is set to 

'Y' 

The legal entity identifier (LEI) must be available in the LEI provider data. Not Applicable cftcBatch/cftcForm102/@legalEntityIdentifier 

cftcBatch/cftcForm102/@optionalOrSuppFieldsSeparatelyReported='Y'

313 The legal entity identifier (LEI) should not be null in LEI database 

when optionalOrSuppFieldsSeparatelyReported indicator is set to 

'Y' 

The legal entity identifier (LEI) must be available in the LEI provider data. Not Applicable cftcBatch/cftcForm102/relatedEntity/@legalEntityIdentifier 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y'

314 The legal entity identifier (LEI) should not be null in LEI database 

when optionalOrSuppFieldsSeparatelyReported indicator is set to 

'Y' 

The legal entity identifier (LEI) must be available in the LEI provider data. Not Applicable cftcBatch/cftcForm102/relatedAccount/relatedEntity/@legalEntityIdentifier 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@optionalOrSuppFieldsSeparatelyRe

ported='Y'

315 4315 Combination of State and Country does not match ISO3166-2 

Country/Subdivision data.

Combination of State and Country does not match ISO3166-2 Country/Subdivision 

data.

cftcBatch/cftcForm102/@state

cftcBatch/cftcForm102/@country

cftcBatch/cftcForm102/@state

cftcBatch/cftcForm102/@country

5315 Combination of State and Country does not match ISO3166-2 

Country/Subdivision data.

Combination of State and Country does not match ISO3166-2 Country/Subdivision 

data.

cftcBatch/cftcForm102/@state

cftcBatch/cftcForm102/@country

cftcBatch/cftcForm102/@state

cftcBatch/cftcForm102/@country

6315 Combination of State and Country does not match ISO3166-2 

Country/Subdivision data.

Combination of State and Country does not match ISO3166-2 Country/Subdivision 

data.

cftcBatch/cftcForm102/@state

cftcBatch/cftcForm102/@country

cftcBatch/cftcForm102/@state

cftcBatch/cftcForm102/@country

316 4316 Combination of State and Country does not match ISO3166-2 

Country/Subdivision data.

Combination of State and Country does not match ISO3166-2 Country/Subdivision 

data.

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country 

 OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@state

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@state

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@country

5316 Combination of State and Country does not match ISO3166-2 

Country/Subdivision data.

Combination of State and Country does not match ISO3166-2 Country/Subdivision 

data.

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@state

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country 

 OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@state

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@country

6316 Combination of State and Country does not match ISO3166-2 

Country/Subdivision data.

Combination of State and Country does not match ISO3166-2 Country/Subdivision 

data.

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@state

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@state

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@country

Form 102 Common Rules Page 7
Form 102 Validation Rules Version 2.0 - Final

317 4317 Invalid email address Invalid email address cftcBatch/cftcForm102/contact/@email

OR 

cftcBatch/cftcForm102/relatedEntity/@email

OR 

cftcBatch/cftcForm102/relatedEntity/contact/@email

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@email

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@email

N/A

5317 Invalid email address Invalid email address cftcBatch/cftcForm102/contact/@email

OR 

cftcBatch/cftcForm102/relatedEntity/@email

OR 

 cftcBatch/cftcForm102/relatedEntity/contact/@email

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@email

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@email

N/A

6317 Invalid email address Invalid email address cftcBatch/cftcForm102/contact/@email

OR 

cftcBatch/cftcForm102/relatedEntity/@email

OR 

cftcBatch/cftcForm102/relatedEntity/contact/@email

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@email

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@email

N/A

318 4318 For an non Omnibus account, Owner and controller should be 

reported

For an non Omnibus account , Owner and controller should be reported cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isController 

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

5318 For an non Omnibus account, Owner and controller should be 

reported

For an non Omnibus account , Owner and controller should be reported cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isController 

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

6318 For an non Omnibus account, Owner and controller should be 

reported

For an non Omnibus account , Owner and controller should be reported cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isController 

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

319 If a related entity is provided with ISFCM set to 'Y', then none of 

the following must be set to 'Y': isOriginator, isOwner, isController.

If a related entity is provided with ISFCM set to 'Y', then none of the following must be 

set to 'Y': isOriginator, isOwner, isController.

cftcBatch/cftcForm102/relatedEntity/@isOriginator

cftcBatch/cftcForm102/relatedEntity/@isOwner

cftcBatch/cftcForm102/relatedEntity/@isController

cftcBatch/cftcForm102/relatedEntity/@isFCM='Y'

320 4320 Invalid NFAIdentifier Invalid NFAIdentifier cftcBatch/cftcForm102/@NFAIdentifier 

OR

cftcBatch/cftcForm102/relatedEntity/@NFAIdentifier 

OR

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@NFAIdentifier

N/A

5320 Invalid NFAIdentifier Invalid NFAIdentifier cftcBatch/cftcForm102/@NFAIdentifier 

OR

cftcBatch/cftcForm102/relatedEntity/@NFAIdentifier 

OR

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@NFAIdentifier

N/A

6320 Invalid NFAIdentifier Invalid NFAIdentifier cftcBatch/cftcForm102/@NFAIdentifier 

OR

cftcBatch/cftcForm102/relatedEntity/@NFAIdentifier 

OR

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@NFAIdentifier

N/A

321 4321 Invalid LeglEntityIdentifier Invalid LeglEntityIdentifier cftcBatch/cftcForm102/@legalEntityIdentifier 

 OR

cftcBatch/cftcForm102/relatedEntity/@legalEntityIdentifier 

OR

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@legalEntityIdentifier

N/A

5321 Invalid LeglEntityIdentifier Invalid LeglEntityIdentifier cftcBatch/cftcForm102/@legalEntityIdentifier 

OR

cftcBatch/cftcForm102/relatedEntity/@legalEntityIdentifier 

OR

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@legalEntityIdentifier

N/A

6321 Invalid LeglEntityIdentifier Invalid LeglEntityIdentifier cftcBatch/cftcForm102/@legalEntityIdentifier 

OR

cftcBatch/cftcForm102/relatedEntity/@legalEntityIdentifier 

OR

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@legalEntityIdentifier

N/A

Form 102 Common Rules Page 8
Form 102 Validation Rules Version 2.0 - Final

322 4322 Invalid EmployerLEI Invalid EmployerLEI cftcBatch/cftcForm102/contact/@employerLEI

OR

cftcBatch/cftcForm102/relatedEntity/@employerLEI

OR

cftcBatch/cftcForm102/relatedEntity/contact/@employerLEI

OR

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@employerLEI

OR

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@employerLEI

N/A

5322 Invalid EmployerLEI Invalid EmployerLEI cftcBatch/cftcForm102/contact/@employerLEI

OR

cftcBatch/cftcForm102/relatedEntity/@employerLEI

OR

cftcBatch/cftcForm102/relatedEntity/contact/@employerLEI

OR

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@employerLEI

OR

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@employerLEI

N/A

6322 Invalid EmployerLEI Invalid EmployerLEI cftcBatch/cftcForm102/contact/@employerLEI

OR

cftcBatch/cftcForm102/relatedEntity/@employerLEI

OR

cftcBatch/cftcForm102/relatedEntity/contact/@employerLEI

OR

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@employerLEI

OR

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@employerLEI

N/A

323 4323 Invalid EmployerNFAIdentifier Invalid EmployerNFAIdentifier cftcBatch/cftcForm102/contact/@employerNFAIdentifier

OR 

cftcBatch/cftcForm102/relatedEntity/@employerNFAIdentifier 

OR 

cftcBatch/cftcForm102/relatedEntity/contact/@employerNFAIdentifier 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@employerNFAIdentifier 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@employerNFAIdentifier

N/A

5323 Invalid EmployerNFAIdentifier Invalid EmployerNFAIdentifier cftcBatch/cftcForm102/contact/@employerNFAIdentifier 

OR 

cftcBatch/cftcForm102/relatedEntity/@employerNFAIdentifier 

OR 

cftcBatch/cftcForm102/relatedEntity/contact/@employerNFAIdentifier 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@employerNFAIdentifier 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@employerNFAIdentifier

N/A

6323 Invalid EmployerNFAIdentifier Invalid EmployerNFAIdentifier cftcBatch/cftcForm102/contact/@employerNFAIdentifier 

OR 

cftcBatch/cftcForm102/relatedEntity/@employerNFAIdentifier 

OR 

cftcBatch/cftcForm102/relatedEntity/contact/@employerNFAIdentifier 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@employerNFAIdentifier 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@employerNFAIdentifier

N/A

324 4324 Invalid Telephone Invalid Telephone cftcBatch/cftcForm102/relatedEntity/@telephone 

OR 

cftcBatch/cftcForm102/relatedEntity/contact/@telephone 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@telephone 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@telephone

N/A

5324 Invalid Telephone Invalid Telephone cftcBatch/cftcForm102/relatedEntity/@telephone 

OR 

cftcBatch/cftcForm102/relatedEntity/contact/@telephone 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@telephone 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@telephone

N/A

Form 102 Common Rules Page 9
Form 102 Validation Rules Version 2.0 - Final

6324 Invalid Telephone Invalid Telephone cftcBatch/cftcForm102/relatedEntity/@telephone 

OR 

cftcBatch/cftcForm102/relatedEntity/contact/@telephone 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@telephone 

OR 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@telephone

N/A

325 The isCounterparty flag should only be set to Yes when the Account 

Category is equal to CA (Consolidated Account)

The isCounterparty flag should only be set to Yes when the Account Category is equal 

to CA (Consolidated Account)

cftcBatch/cftcForm102/relatedEntity cftcBatch/cftcForm102/@accountCategory<>'CA'

326 4326 The isCounterparty flag should not be set for Related Account 

Related Entity

The isCounterparty flag should not be set for Related Account Related Entity cftcBatch/cftcForm102/relatedAccount/relatedEntity cftcBatch/cftcForm102/relatedAccount/relatedEntity 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isCounterParty='Y'

5326 The isCounterparty flag should not be set for Related Account 

Related Entity

The isCounterparty flag should not be set for Related Account Related Entity cftcBatch/cftcForm102/relatedAccount/relatedEntity cftcBatch/cftcForm102/relatedAccount/relatedEntity 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isCounterParty='Y'

6326 The isCounterparty flag should not be set for Related Account 

Related Entity

The isCounterparty flag should not be set for Related Account Related Entity cftcBatch/cftcForm102/relatedAccount/relatedEntity cftcBatch/cftcForm102/relatedAccount/relatedEntity 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isCounterParty='Y'

330 330

For any Form 102, if a related entity specifies that Foreign Privacy 

Law Exception Indicator is 'Y' then the country field is required.

If Foreign Privacy Law Exception Indicator is 'Y' then country must be provided. cftcBatch/cftcForm102/relatedEntity@country cftcBatch/cftcForm102/relatedEntity@foreignPrivacyException='Y'

331 331 For a trading account, if a related entity specifies that Foreign 

Privacy Law Exception Indicator is 'Y' then the country field is 

required.

For a Trading Account, if Foreign Privacy Law Exception Indicator is 'Y' then country 

must be provided.

cftcBatch/cftcForm102/relatedAccount/relatedEntity@country cftcBatch/cftcForm102/relatedAccount/relatedEntity@foreignPrivacyException='Y'

Form 102 Common Rules Page 10
Form 102 Validation Rules Version 2.0 - Final

Qsn # in 

Final Rule

Rule 

Number

Rule Description Valid Values Error Message XML Path XML Condition

2 401 OriginReason must always be populated for Special 

Accounts (Form102A) and can only be 'OC', 'OM', 

or 'CC'

CC = Control of a 

reportable 

position

OC = Ownership 

and control of a 

reportable 

position

OM = Omnibus 

account with a 

reportable 

position

OriginReason must be provided only for special 

accounts and can only be 'OC' ,'OM' , or 'CC.

cftcBatch/cftcForm102/@originReason cftcBatch/cftcForm102/@accountCategory='SA'

2,3 402 AccountName should always be populated if 

AccountNumber is populated for SpecialAccount

Special account name must be provided if Special 

account number is provided.

cftcBatch/cftcForm102/@accountName cftcBatch/cftcForm102/@accountNumber

cftcBatch/cftcForm102/@accountCategory='SA'

2,5 403 If the reported Special Account is an 

OmnibusAccount, accountClass must be populated

H-House 

C-Customer

AccountClass of an omnibus special account must 

be provided.

cftcBatch/cftcForm102/@accountClass cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@originReason='OM'

2,6 404 If OriginReason is 'OC' then indicate that the 

specialaccount is an owner

Special Account Owner Indicator must be set to 

'Y' if and only if OriginReason is 'OC'

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@originReason ='OC' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y'

2,7 407 If OriginReason is 'CC' or 'OC' then indicate that the 

specialaccount is a controller

Special Account Controller Indicator must be set 

to 'Y' if and only if OriginReason is 'CC' or 'OC' 

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@originReason in ('CC','OC')

cftcBatch/cftcForm102/relatedEntity/@isController='Y'

2,7 408 If OriginReason is 'CC' or 'OC' then one and only 

one special account controller must be provided

If OriginReason is 'CC' or 'OC' then one and only 

one Special Account Controller must be provided

cftcBatch/cftcForm102/relatedEntity cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@originReason in ('CC','OC')

cftcBatch/cftcForm102/relatedEntity/@isController='Y'

2,7,6 409 If a Special Account Controller Type or Special 

Account Owner is 'LE' and if 

optionalOrSuppFieldsSeparatelyReported is 'N' 

then the following fields must be provided: 

LegalEntityName 

street

City

state

Country

PostalCode

Telephone

Email

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

If a Special Account Controller Entity Type is 'LE' 

or Special Account Owner is 'LE' and if 

OptionalOrSuppFieldsSeparatelyReported is 'N', 

then the required fields must be provided.

cftcBatch/cftcForm102/relatedEntity@legalEntityName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/@email

cftcBatch/cftcForm102/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/relatedEntity/contact/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@originReason in ('CC','OC')

cftcBatch/cftcForm102/relatedEntity/@entityType='LE'

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='N' 

cftcBatch/cftcForm102/relatedEntity/@isController='Y' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y'

Form 102A Page 11
Form 102 Validation Rules Version 2.0 - Final

2,7,6 410 If a Special Account Controller Type is 'NP' or 

Special Account Owner Type is 'NP' and if 

optionalOrSuppFieldsSeparatelyReported is 'N' 

then the following fields must be provided: 

FirstName

LastName 

street

City

state

Country

PostalCode

Telephone

Email

 

If a Special Account Controller Entity Type is 'NP' 

or a Special Account Owner Entity Type is 'NP'and 

if OptionalOrSuppFieldsSeparatelyReported is 'N', 

then the required fields must be provided.

cftcBatch/cftcForm102/relatedEntity/@firstName

cftcBatch/cftcForm102/relatedEntity/@lastName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/@email

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@originReason in ('CC','OC')

cftcBatch/cftcForm102/relatedEntity/@entityType='NP' 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='N' 

cftcBatch/cftcForm102/relatedEntity/@isController='Y' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y' 

2,8 411 If OriginReason is 'OM' then isOmnibus is 'Y' Special Account Omnibus Indicator must be set to 

'Y' if and only if OriginReason is 'OM' 

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@originReason='OM'

cftcBatch/cftcForm102/@isOmnibus='Y'

2,8 412 If isOriginator is 'Y' then isOmnibus is 'Y' If the related entity is an Originator, then 

isOmnibus must be set to 'Y'.

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@originReason='OM'

cftcBatch/cftcForm102/@isOmnibus='Y'

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y'

2,8 413 If OriginReason is 'OM' then one and only one 

Omnibus Originator must be provided

If OriginReason is 'OM' then one and only one 

Special Account Omnibus Originator must be 

provided

cftcBatch/cftcForm102/relatedEntity cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@originReason='OM'

cftcBatch/cftcForm102/@isOmnibus='Y'

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y'

2,8 414 OmnibusAccountOriginatorEntity must only be 'LE' An Special Account Omnibus Account Originator 

Entity Type can only be 'LE'

cftcBatch/cftcForm102/relatedEntity/@entityType='LE' cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@originReason='OM' 

cftcBatch/cftcForm102/@isOmnibus='Y'

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y'

2,8 415 OmnibusAccountOriginatorEntity must only be 'LE' 

and if 

optionalOrSuppFieldsSeparatelyReported='N' then 

the following fields must be provided: 

LegalEntityName 

street

City

state

Country

PostalCode

Telephone

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

If optionalOrSuppFieldsSeparatelyReported is 'N', 

then Omnibus Account Originator required fields 

must be provided.

cftcBatch/cftcForm102/relatedEntity@legalEntityName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/relatedEntity/contact/@telephone 

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@originReason='OM'

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='N' 

cftcBatch/cftcForm102/@isOmnibus='Y'

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y'

2,10 416 isTradingAccount is 'Y' only if it is a relatedAccount. 

For a relatedaccount at least one tradingaccount 

must be provided if the reporting entity is acting as 

a clearing member.

Special Account Trading Account indicator is set 

to 'Y' only if a related account is reported.

cftcBatch/cftcForm102/relatedAccount 

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y'

2,10 417 If isTradingAccount is 'Y' then isCM should be set to 

'Y'

Trading accounts are to be provided only for 

special accounts which are reported for an entity 

acting as a clearing member. If Special Account 

Trading Account indicator is set to 'Y' then the 

reporting firm type clearing member indicator 

must be set to 'Y'.

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y'

Form 102A Page 12
Form 102 Validation Rules Version 2.0 - Final

2,10(i) 419 One and only one Trading Account omnibus 

originator must be provided

One and only one Trading Account omnibus 

originator must be provided

cftcBatch/cftcForm102/relatedAccount/relatedEntity cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='Y'

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOriginator='Y'

2,10(i) 420 If Trading Account isOmnibus is set to 'Y' then 

isOriginator must be set to 'Y'

If a trading account omnibus indicator is set to 'Y' 

then Trading account omnibus originator 

indicator must also be set to 'Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOriginator='Y' cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='Y' 

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y'

2,10(i) 421 Trading Account Omnibus Account Entity Type can 

only be 'LE'.

LE-Legal Entity A trading account identified as an omnibus 

account can only be a 'LE'. 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='Y'

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOriginator='Y'

2,10(i) 422 Trading Account Omnibus Account Entity Type can 

only be 'LE' and if 

optionalsuppfieldsSeparatelyReported is 'N' then 

the following Trading account Omnibus account 

required fields must be provided: 

LegalEntityName 

Street

City

state

Country

PostalCode

Telephone

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

LE-Legal Entity If optionalOrSuppFieldsSeparatelyReported is 'N', 

then trading account omnibus account originator 

required fields must be provided.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@legalEntityName

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@street

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@city

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@state

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@country

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@telephone

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@optionalOrSuppFieldsSeparatelyRepo

rted='N'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOriginator='Y'

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='LE'

2,10(ii) 423 If an entity acting as a clearing member provides 

owner information for a trading account, then the 

trading account cannot be an omnibus account. 

(Omnibus flag cannot be set to ‘Y’.)

If an entity acting as a clearing member provides 

owner information for a trading account, then the 

trading account cannot be an omnibus account. 

(Omnibus flag cannot be set to ‘Y’.)

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner='Y'

2,6 424 If OriginReason is 'OC' then at least one 

SpecialAccountOwner must be provided

If OriginReason is 'OC' then at least one 

SpecialAccountOwner must be provided

cftcBatch/cftcForm102/relatedEntity cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@originReason ='OC' 

2,10(ii) 425 For each non-omnibus trading account reported by 

an entity acting as a clearing member, at least one 

trading account owner must be provided

For each non-omnibus trading account reported 

by an entity acting as a clearing member, at least 

one trading account owner must be provided

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner='Y'

2,10(ii) 426 If Trading Account Owner Type is 'LE' and if 

Optional Fields or Supplemental Fields is 'N' then 

Legal or registered name of the trading account 

owner must be provided.

If Trading Account Owner Entity Type is 'LE' and if 

optionalOrSuppFieldsSeparatelyReported is 'N', 

then the legal or registered name of the trading 

account owner must be provided.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@legalEntityName cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@optionalOrSuppFieldsSeparatelyRepo

rted='N'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='LE' 

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity@foreignPrivacyException='N' 

Form 102A Page 13
Form 102 Validation Rules Version 2.0 - Final

2,10(ii) 427 If Trading Account Owner Type is 'LE' and if 

Optional Fields or Supplemental Fields is 'N' and 

followOnInformationToCome is 'N' then the 

following fields must be provided: 

Street

City 

State

Country

PostalCode

Telephone

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

If a trading account owner entity type is a 'LE', 

required fields must be provided if 

optionalOrSuppFieldsSeparatelyReported is 'N' 

and if followOnInformationToCome is 'N' .

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@street

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@city

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@state

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@country

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@telephone

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@email

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@optionalOrSuppFieldsSeparatelyRepo

rted='N'

cftcBatch/cftcForm102/@followOnInformationToCome='N' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='LE' 

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity@foreignPrivacyException='N' 

2,10(ii) 428 If Trading Account Owner Type is 'NP' and if 

Optional Fields or Supplemental Fields is 'N' then 

Trading account owner natural person name must 

be provided 

If a trading account owner entity type is a 'NP', 

name must be provided if 

optionalOrSuppFieldsSeparatelyReported is 'N'.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@lastName

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@firstName

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@optionalOrSuppFieldsSeparatelyRepo

rted='N'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='NP' 

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity@foreignPrivacyException='N' 

2,10(ii) 429 If Trading Account Owner Type is 'NP' and if 

Optional Fields or Supplemental Fields is 'N' and 

followOnInformationToCome is 'N' then the 

following fields must be provided: 

Street

City 

State

Country

PostalCode

Telephone

Email 

If a trading account owner entity type is a 'NP', 

required fields must be provided if 

optionalOrSuppFieldsSeparatelyReported is 'N' 

and if followOnInformationToCome is 'N'.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@street

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@city

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@state

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@country

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@telephone 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@email

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@optionalOrSuppFieldsSeparatelyRepo

rted='N' 

cftcBatch/cftcForm102/@followOnInformationToCome='N' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='NP' 

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity@foreignPrivacyException='N' 

2,10(iii) 430 If an entity acting as a clearing member provides 

controller information for a trading account, then 

the trading account cannot be an omnibus 

account. (Omnibus flag cannot be set to ‘Y’.)

If an entity acting as a clearing member provides 

controller information for a trading account, then 

the trading account cannot be an omnibus 

account. (Omnibus flag cannot be set to ‘Y’.)

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isController='Y'

2,10(iii) 431 For each non-omnibus trading account reported by 

an entity acting as a clearing member, at least one 

trading account controller must be provided

For each non-omnibus trading account reported 

by an entity acting as a clearing member, at least 

one trading account controller must be provided

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isController='Y'

2,10(iii) 432 Trading Account Controller Entity Type must only 

be 'NP' 

NP = Natural 

Person

Trading Account Controller Entity Type must only 

be 'NP' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='NP' cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isController='Y' 

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y 

2,10(iii) 433 Trading account controller natural person name 

must be provided

Trading account controller natural person name 

must be provided

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@lastName

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@firstName

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isController='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='NP' 

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y 

cftcBatch/cftcForm102/ relatedAccount/relatedEntity@clientReportingIssue=0 

cftcBatch/cftcForm102/relatedAccount/relatedEntity@foreignPrivacyException='N' 

Form 102A Page 14
Form 102 Validation Rules Version 2.0 - Final

2,10(iii) 434 If followOnInformationToCome ='N' then the 

following fields must be provided for Trading 

Account Controller 

Street

City 

State

Country

PostalCode

Telephone

EmployerName

Title

Relationship

Email 

If followOnInformationToCome is 'N, then trading 

account controller required fields must be 

provided.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@street

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@city

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@state

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@country

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@employerName

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@titleOrPosition

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@relationship

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@email

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isController='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='NP'

cftcBatch/cftcForm102/@followOnInformationToCome='N' 

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y' 

cftcBatch/cftcForm102/ relatedAccount/relatedEntity@clientReportingIssue=0 

cftcBatch/cftcForm102/relatedAccount/relatedEntity@foreignPrivacyException='N'

11 435 If a reporting firm indicated that it is a foreign 

broker, then the reporting firm's U.S. futures 

commission merchant must be provided. At least 

one U.S.FCM related entity must be provided

If and only if a reporting firm indicated that it is a 

foreign broker, then U.S. Futures Commissions 

Merchant indicator must be set to 'Y' for at least 

one related entity.

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isFB='Y' cftcBatch/cftcForm102/relatedEntity/@isFCM='Y'

11 436 U.S. Futures Commission Merchant Entity Type can 

only be 'LE'

LE = Legal Entity The U.S. Futures Commissions Merchant entity 

type can only be 'LE'.

cftcBatch/cftcForm102/relatedEntity/@entityType cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isFB='Y'

cftcBatch/cftcForm102/relatedEntity/@isFCM='Y'

11 437 U.S. Futures Commission Merchant Entity Type can 

only be 'LE' and must be provided only if 

reportingfirm is a ForeignBroker. The following 

fields are required fields: 

LegalEntityName

Street

City

State

Country

PostalCode

ContactLastName

ContactFirstName

ContactTitle

ContactTelephone

ContactEmail

LE = Legal Entity If the reporting firm is a Foreign Broker, then the 

required fields for the U.S. futures commission 

merchant must be provided. 

cftcBatch/cftcForm102/relatedEntity/@legalEntityName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedEntity/contact/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isFB='Y'

cftcBatch/cftcForm102/relatedEntity/@entityType='LE' 

cftcBatch/cftcForm102/relatedEntity/@isFCM='Y'

2,7 441 For a special account when OriginReason is 'CC' 

and when the Special account is not an omnibus, 

controller information should be reported

For a special account when OriginReason is 'CC' 

and when the Special account is not an omnibus, 

controller information should be reported

cftcBatch/cftcForm102/relatedEntity/@isController cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/@originReason='CC' 

NAL 443 For a Trading Account Owner, the Foreign Privacy 

Law Exception Indicator is required.

For a Trading Account Owner, Foreign Privacy Law 

Exception Indicator must be provided.

cftcBatch/cftcForm102/relatedAccount/relatedEntity@foreignPrivacyException cftcBatch/cftcForm102/@accountCategory='SA' 

cftcBatch/cftcForm102/@isCM='Y' 

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner='Y' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@optionalOrSuppFieldsSeparatelyRepo

rted='N' 

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y'

NAL 444 For a Trading Account Controller, the Foreign 

Privacy Law Exception Indicator is required.

For a Trading Account Controller, Foreign Privacy 

Law Exception Indicator must be provided.

cftcBatch/cftcForm102/relatedAccount/relatedEntity@foreignPrivacyException cftcBatch/cftcForm102/@accountCategory='SA' 

cftcBatch/cftcForm102/@isCM='Y' 

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isController='Y' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='NP' 

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y'

NAL 445 For a Trading Account Controller, the Client 

Reporting Issue Indicator is required.

For a Trading Account Controller, the Client 

Reporting Issue Indicator must be provided.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@clientReportingIssue cftcBatch/cftcForm102/@accountCategory='SA' 

cftcBatch/cftcForm102/@isCM='Y' 

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isController='Y' 

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y' 

Form 102A Page 15
Form 102 Validation Rules Version 2.0 - Final

Qsn # in 

Final Rule

Rule 

Number

Rule Description Valid Values Error Message XML Path XML Condition

2 501 TradingAccountNumber, ShortCodes, and 

ReportingMarket must be provided for volume 

threshold account

The Trading Account Number, Short Code(s), and 

associated Reporting Market must be provided 

for the reported volume threshold account.

cftcBatch/cftcForm102/@accountNumber

cftcBatch/cftcForm102/relatedAcctInfo/@accountShortCode

cftcBatch/cftcForm102/relatedAcctInfo/@marketIdentifier

cftcBatch/cftcForm102/@accountCategory='VT'

3 502 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 of a 102A, provide 

the associated special account number(s).

Account Number must be provided for a volume 

threshold account that was previously identified 

as trading account that comprises a special 

account(s).

cftcBatch/cftcForm102/relatedAccount/@accountNumber 

cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/relatedAccount/@isSpecialAccount='Y' 

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='N'

cftcBatch/cftcForm102/relatedAccount

4 503 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 of the reporting firm.

H = House 

C = Customer

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 of the 

reporting firm.

cftcBatch/cftcForm102/@accountClass cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='Y'

4 504 One and only one Volume Threshold Account 

Omnibus Account Originator must be provided.

One and only one Volume Threshold Account 

Omnibus Account Originator must be provided

cftcBatch/cftcForm102/relatedEntity cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='Y' 

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y' 

4 505 Volume Threshold Account Omnibus Account 

Originator Indicator must be set to 'Y' only if 

Volume Threshold Account Omnibus Account 

Indicator is set to 'Y'

Volume Threshold Account Omnibus Account 

Originator Indicator must be set to 'Y' if and only 

if Volume Threshold Account Omnibus Account 

Indicator is set to 'Y'

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y' cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='Y'

4 506 Volume Threshold Account Omnibus Account 

Originator Entity Type must only be 'LE'

LE Volume Threshold Account Omnibus Account 

Originator Entity Type must only be 'LE'

cftcBatch/cftcForm102/relatedEntity/@entityType='LE' cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='Y' 

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y' 

4 507 If Volume Threshold Account Omnibus Account 

Originator 

optionalOrSuppFieldsSeparatelyReported is 'N' 

then the following fields must be provided: 

LegalEntityName 

Street

City

State

Country

PostalCode

Telephone

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

The Volume Threshold Account Omnibus Account 

Originator required fields must be provided.

cftcBatch/cftcForm102/relatedEntity@legalEntityName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/relatedEntity/contact/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='Y' 

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='LE'

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='N'

5 508 If a Volume Threshold Account Owner is 'LE' and if 

optionalOrSuppFieldsSeparatelyReported is 'N' 

then the legal entity name must be provided. 

If a Volume Threshold Account Owner is a legal 

entity and if optional/supplemental fields have 

not been marked as separately provided to an LEI 

provider, then the legal entity name must be 

provided.

cftcBatch/cftcForm102/relatedEntity@legalEntityName cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='LE'

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='N' 

cftcBatch/cftcForm102/relatedEntity@foreignPrivacyException='N'

Form 102B Page 16
Form 102 Validation Rules Version 2.0 - Final

5 509 If a Volume Threshold Account Owner is 'LE', 

optionalOrSuppFieldsSeparatelyReported is 'N' and 

if followOnInformationToCome is 'N' then the 

required fields must be provided. 

Street

City

State

Country

PostalCode

Telephone

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

If required fields have not been identified as 

separately reported or part of follow-on 

information to be provided, they must be 

provided in this submission.

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/relatedEntity/contact/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='LE'

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='N' 

cftcBatch/cftcForm102/@followOnInformationToCome ='N' 

cftcBatch/cftcForm102/relatedEntity@foreignPrivacyException='N' 

5 510 If a Volume Threshold Account Owner is 'NP' and if 

optionalOrSuppFieldsSeparatelyReported is 'N' 

then the Owner first name and last name must be 

provided. 

If a Volume Threshold Account Owner is a natural 

person and if optional/supplemental fields have 

not been separately provided to an LEI provider, 

then the owner first name and last name must be 

provided.

cftcBatch/cftcForm102/relatedEntity/@lastName

cftcBatch/cftcForm102/relatedEntity/@firstName

cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='NP'

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='N' 

cftcBatch/cftcForm102/relatedEntity@foreignPrivacyException='N'

5 511 If a Volume Threshold Account Owner is 'NP', 

optionalOrSuppFieldsSeparatelyReported is 'N' and 

if followOnInformationToCome is 'N' then the 

required fields must be provided. 

Street

City

State

Country

PostalCode

Telephone 

Email 

If required fields have not been identified as 

separately reported or part of follow-on 

information to be provided, they must be 

provided in this submission.

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/@email

cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='NP'

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='N' 

cftcBatch/cftcForm102/@followOnInformationToCome ='N' 

cftcBatch/cftcForm102/relatedEntity@foreignPrivacyException='N' 

6 512 Volume threshold account controller must only be 

'NP' 

The Volume threshold account controller must be 

only a natural person

cftcBatch/cftcForm102/relatedEntity/@entityType='NP' cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isController='Y' 

6 513 Volume threshold account controller natural 

person name must always be provided

The Volume threshold account controller name 

must be provided.

cftcBatch/cftcForm102/relatedEntity/@lastName

cftcBatch/cftcForm102/relatedEntity/@firstName

cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isController='Y' 

cftcBatch/cftcForm102/ relatedAccount/relatedEntity@clientReportingIssue=0 

cftcBatch/cftcForm102/relatedEntity@foreignPrivacyException='N' 

6 514 Volume Threshold Account controller required 

fields must be provided if followoninformation is 

'N' 

If required fields have not been identified as part 

of follow-on information to be provided, they 

must be provided in this submission.

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/@email 

cftcBatch/cftcForm102/relatedEntity/@employerName 

cftcBatch/cftcForm102/relatedEntity/@titleOrPosition 

cftcBatch/cftcForm102/relatedEntity/@relationship 

cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isController='Y' 

cftcBatch/cftcForm102/@followOnInformationToCome ='N' 

cftcBatch/cftcForm102/relatedEntity@clientReportingIssue=0 

cftcBatch/cftcForm102/relatedEntity@foreignPrivacyException='N' 

Form 102B Page 17
Form 102 Validation Rules Version 2.0 - Final

NAL 515 For a Volume Threshold Account Controller, the 

Client Reporting Issue Indicator is required.

For a Volume Threshold Account Controller, the 

Client Reporting Issue Indicator must be provided.

cftcBatch/cftcForm102/relatedEntity@clientReportingIssue cftcBatch/cftcForm102/@accountCategory = 'VT' 

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isController='Y' 

NAL 517 For a Volume Threshold Account Owner, the 

Foreign Privacy Law Exception Indicator is 

required.

For a Volume Threshold Account Owner, the 

Foreign Privacy Law Exception Indicator is 

required.

cftcBatch/cftcForm102/relatedEntity@foreignPrivacyException cftcBatch/cftcForm102/@accountCategory ='VT'

cftcBatch/cftcForm102/@OptionalOrSuppFieldsSeparatelyReported='N'

cftcBatch/cftcForm102/relatedEntity@isOwner='Y'

NAL 518 For a Volume Threshold Account Controller, the 

Foreign Privacy Law Exception Indicator is 

required.

For a Volume Threshold Account Controller, the 

Foreign Privacy Law Exception Indicator is 

required.

cftcBatch/cftcForm102/relatedEntity@foreignPrivacyException cftcBatch/cftcForm102/@accountCategory ='VT'

cftcBatch/cftcForm102/@OptionalOrSuppFieldsSeparatelyReported='N'

cftcBatch/cftcForm102/relatedEntity@isController='Y'

Form 102B Page 18
Form 102 Validation Rules Version 2.0 - Final

Qsn # in 

Final Rule

Rule 

Number

Rule Description Valid Values Error Message XML Path XML Condition

3(ii) 602 If the reported Consolidated Account is being 

reported as an Omnibus Account , there must be 

one and only one originator

A Consolidated Omnibus Account must have one 

and only one originator.

cftcBatch/cftcForm102/relatedEntity cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/@isOmnibus='Y' 

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y' 

3(ii) 603 An Omnibus Account Originator Entity value can 

only be 'LE' 

LE = Legal Entity An Omnibus Account Originator can only be a 

legal entity.

cftcBatch/cftcForm102/relatedEntity/@entityType cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/@isOmnibus='Y' 

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y' 

3(ii) 604 For an Omnibus Account Originator, if 

optionalOrSuppFieldsSeparatelyReported is 'N' 

then the following fields must be provided: 

LegalEntityName 

street

City

state

Country

PostalCode

Telephone

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

For an Omnibus Account Originator, if 

OptionalOrSuppFieldsSeparatelyReported is 'N', 

then the required fields must be provided.

cftcBatch/cftcForm102/relatedEntity@legalEntityName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/relatedEntity/contact/@telephone 

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/@isOmnibus='Y' 

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='LE' 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='N' 

3(iii) 605 If the reported Consolidated Account is being 

reported as Non-Omnibus Account , there must be 

at least one owner.

A Non-Omnibus Consolidated Account must have 

at least one owner.

cftcBatch/cftcForm102/relatedEntity cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y' 

3(iii) 606 If the reported Consolidated Account is being 

reported as an non-Omnibus Account , originator 

information should not exist.

A Non-Omnibus Account Originator cannot have 

Originator information

cftcBatch/cftcForm102/relatedEntity cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y' 

Form 102S Page 19
Form 102 Validation Rules Version 2.0 - Final

3(iii) 607 If a Consolidated Account Owner EntityType is 'LE' 

and if Optional Fields or Supplemental Fields 

Reported to LEI Provider is set to 'N' then the 

following fields must be provided: 

LegalEntityName 

street

state

City

Country

PostalCode

Telephone

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail

If a Consolidated Account Owner is a legal entity 

and if optional/supplemental fields have not been 

marked as separately provided to an LEI provider, 

then the required fields must be provided. 

cftcBatch/cftcForm102/relatedEntity@legalEntityName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/relatedEntity/contact/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='LE' 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='N' 

cftcBatch/cftcForm102/relatedEntity/@isCounterparty='N' 

3(iii) 608 If a Consolidated Account Owner EntityType is 'NP' 

and if Optional Fields or Supplemental Fields 

Reported to LEI Provider is set to 'N' then the 

following fields must be provided: 

FirstName

LastName 

street

City

state

Country

PostalCode

Telephone

Email

If a Consolidated Account Owner EntityType is a 

natural person and if optional/supplemental 

fields have not been separately provided to an LEI 

provider, then the required fields must be 

provided. 

cftcBatch/cftcForm102/relatedEntity/@firstName

cftcBatch/cftcForm102/relatedEntity/@lastName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/@email

cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='NP' 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='N' 

cftcBatch/cftcForm102/relatedEntity/@isCounterparty='N' 

3(iv) 609 If the reported Consolidated Account is being 

reported as Non-Omnibus Account , there must be 

at least one controller

A Non-Omnibus Consolidated Account must have 

at least one controller.

cftcBatch/cftcForm102/relatedEntity cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isController='Y'

cftcBatch/cftcForm102/relatedEntity/@isCounterparty='N' 

3(iv) 610 If a Consolidated Account Controller EntityType is 

'LE' and if Optional Fields or Supplemental Fields 

Reported to LEI Provider is set to 'N' then the 

following fields must be provided: 

LegalEntityName 

street

state

City

Country

PostalCode

Telephone 

Email

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail

If a Consolidated Account controller is a legal 

entity and if optional/supplemental fields have 

not been marked as separately provided to an LEI 

provider, then the required fields must be 

provided. 

cftcBatch/cftcForm102/relatedEntity@legalEntityName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone 

cftcBatch/cftcForm102/relatedEntity/@email 

cftcBatch/cftcForm102/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/relatedEntity/contact/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isController='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='LE' 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='N'

cftcBatch/cftcForm102/relatedEntity/@isCounterparty='N' 

RE Counterparty Changes.msg

Form 102S Page 20
Form 102 Validation Rules Version 2.0 - Final

3(iv) 611 If a Consolidated Account Controller EntityType is 

'NP' and if Optional Fields or Supplemental Fields 

Reported to LEI Provider is set to 'N' then the 

following fields must be provided: 

FirstName

LastName 

street

City

state

Country

PostalCode

Telephone

Email

If a Consolidated Account Controller is a natural 

person and if optional/supplemental fields have 

not been separately provided to an LEI provider, 

then the required fields must be provided.

cftcBatch/cftcForm102/relatedEntity/@firstName

cftcBatch/cftcForm102/relatedEntity/@lastName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/@email

cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isController='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='NP' 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='N'

cftcBatch/cftcForm102/relatedEntity/@isCounterparty='N' 

4 612 If accountCategory is 'CA" then at least one of the 

following must be set to 'Y': isSwap or isSwaption

If accountCategory is 'CA" then at least one of the 

following must be set to 'Y': isSwap or isSwaption

cftcBatch/cftcForm102/pairedSwapOrSwaptionActivity/@isSwap

cftcBatch/cftcForm102/pairedSwapOrSwaptionActivity/@isSwaptio

n

cftcBatch/cftcForm102/@accountCategory='CA'

4 613 If accountCategory is 'CA" then at least one 

description of paired swap or swaption market 

activity must be provided.

If accountCategory is 'CA" then at least one 

description of paired swap or swaption market 

activity must be provided.

cftcBatch/cftcForm102/pairedSwapOrSwaptionActivity/@descripti

on

cftcBatch/cftcForm102/@accountCategory='CA'

3 614 For a non-omnibus Consolidated Account, there 

must be one and only one counterparty.

A non-omnibus Consolidated Account must have 

one and only one counterparty.

cftcBatch/cftcForm102/relatedEntity cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/relatedEntity/@isCounterparty='Y' 

cftcBatch/cftcForm102/relatedEntity/@isOmnibus='N'

3 615 For a non-omnibus Consolidated Account, the 

counterparty must be an owner or a controller.

For a non-omnibus Consolidated Account, the 

counterparty must be an owner or a controller.

cftcBatch/cftcForm102 

cftcBatch/cftcForm102/relatedEntity

cftcBatch/cftcForm102/@accountCategory='CA' 

cftcBatch/cftcForm102/relatedEntity/@isCounterparty='Y' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='N' 

cftcBatch/cftcForm102/relatedEntity/@isController='N' 

3 616 For a non-omnibus Consolidated Account, an 

originator cannot be the counterparty.

For a non-omnibus Consolidated Account, an 

originator cannot be the counterparty.

cftcBatch/cftcForm102 

cftcBatch/cftcForm102/relatedEntity

cftcBatch/cftcForm102/@accountCategory='CA' 

cftcBatch/cftcForm102/relatedEntity/@isCounterparty='Y' 

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y'

NAL 617 If a Consolidated Account Counterparty EntityType 

is 'LE' and if Optional Fields or Supplemental Fields 

Reported to LEI Provider is set to 'N' then the 

following fields must be provided: 

LegalEntityName 

street 

state 

City 

Country 

PostalCode 

Telephone 

ContactLastName 

ContactFirstName 

ContactTitle 

ContactRelationship 

ContactTelephone 

ContactEmail

If a Consolidated Account Counterparty is a legal 

entity and if optional/supplemental fields have 

not been marked as separately provided to an LEI 

provider, then the required fields must be 

provided. 

cftcBatch/cftcForm102/relatedEntity@legalEntityName 

cftcBatch/cftcForm102/relatedEntity/@street 

cftcBatch/cftcForm102/relatedEntity/@city 

cftcBatch/cftcForm102/relatedEntity/@state 

cftcBatch/cftcForm102/relatedEntity/@country 

cftcBatch/cftcForm102/relatedEntity/@postalCode 

cftcBatch/cftcForm102/relatedEntity/@telephone 

cftcBatch/cftcForm102/relatedEntity/contact/@lastName 

cftcBatch/cftcForm102/relatedEntity/contact/@firstName 

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition 

cftcBatch/cftcForm102/relatedEntity/contact/@relationship 

cftcBatch/cftcForm102/relatedEntity/contact/@telephone 

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='CA' 

cftcBatch/cftcForm102/relatedEntity/@entityType='LE' 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='N' 

cftcBatch/cftcForm102/relatedEntity@foreignPrivacyException='N' 

cftcBatch/cftcForm102/relatedEntity/@isCounterparty='Y' 

Form 102S Page 21
Form 102 Validation Rules Version 2.0 - Final

NAL 618 If a Consolidated Account Counterparty EntityType 

is 'NP' and if Optional Fields or Supplemental 

Fields Reported to LEI Provider is set to 'N' then 

the following fields must be provided: 

FirstName 

LastName 

street 

City 

state 

Country 

PostalCode 

Telephone 

Email

If a Consolidated Account Counterparty 

EntityType is a natural person and if 

optional/supplemental fields have not been 

separately provided to an LEI provider, then the 

required fields must be provided.

cftcBatch/cftcForm102/relatedEntity/@firstName

cftcBatch/cftcForm102/relatedEntity/@lastName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/@email

cftcBatch/cftcForm102/@accountCategory='CA' 

cftcBatch/cftcForm102/relatedEntity/@entityType='NP' 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='N' 

cftcBatch/cftcForm102/relatedEntity@foreignPrivacyException='N'

cftcBatch/cftcForm102/relatedEntity/@isCounterparty='Y' 

NAL 622 For a consolidated account that is a counterparty, 

the Foreign Privacy Law Exception Indicator is 

required.

For a consolidated account that is a counterparty, 

the Foreign Privacy Law Exception Indicator must 

be provided. 

cftcBatch/cftcForm102/relatedEntity@foreignPrivacyException cftcBatch/cftcForm102/@accountCategory='CA' 

cftcBatch/cftcForm102/relatedEntity/@IsCounterparty='Y'

Form 102S Page 22
Form 102 Validation Rules Version 2.0 - Final

Qsn # in 

Final Rule

Rule 

Number

Extended 

Rule Number

Rule Description Valid Values Error Message XML Path XML Condition

102A/102B/

102S

701 4701 The legal entity identifier (LEI) should not be null 

when optionalOrSuppFieldsSeparatelyReported 

indicator is set to 'Y' 

Legal Entity Identifier must be provided when 

optionalOrSuppFieldsSeparatelyReported is 'Y'.

cftcBatch/cftcForm102/@legalEntityIdentifier cftcBatch/cftcForm102/@optionalOrSuppFieldsSeparatelyReported='Y'

5701 The legal entity identifier (LEI) should not be null 

when optionalOrSuppFieldsSeparatelyReported 

indicator is set to 'Y' 

Legal Entity Identifier must be provided when 

optionalOrSuppFieldsSeparatelyReported is 'Y'.

cftcBatch/cftcForm102/@legalEntityIdentifier cftcBatch/cftcForm102/@optionalOrSuppFieldsSeparatelyReported='Y'

6701 The legal entity identifier (LEI) should not be null 

when optionalOrSuppFieldsSeparatelyReported 

indicator is set to 'Y' 

Legal Entity Identifier must be provided when 

optionalOrSuppFieldsSeparatelyReported is 'Y'.

cftcBatch/cftcForm102/@legalEntityIdentifier cftcBatch/cftcForm102/@optionalOrSuppFieldsSeparatelyReported='Y'

102A/102B/

102S

702 4702 The legal entity identifier (LEI) should not be null 

when optionalOrSuppFieldsSeparatelyReported 

indicator is set to 'Y' 

Legal Entity Identifier must be provided when 

optionalOrSuppFieldsSeparatelyReported is 'Y'.

cftcBatch/cftcForm102/relatedEntity/@legalEntityIdentifier cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y'

5702 The legal entity identifier (LEI) should not be null 

when optionalOrSuppFieldsSeparatelyReported 

indicator is set to 'Y' 

Legal Entity Identifier must be provided when 

optionalOrSuppFieldsSeparatelyReported is 'Y'.

cftcBatch/cftcForm102/relatedEntity/@legalEntityIdentifier cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y'

6702 The legal entity identifier (LEI) should not be null 

when optionalOrSuppFieldsSeparatelyReported 

indicator is set to 'Y' 

Legal Entity Identifier must be provided when 

optionalOrSuppFieldsSeparatelyReported is 'Y'.

cftcBatch/cftcForm102/relatedEntity/@legalEntityIdentifier cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y'

102A/102B/

102S

703 4703 The legal entity identifier (LEI) should not be null 

when optionalOrSuppFieldsSeparatelyReported 

indicator is set to 'Y' 

Legal Entity Identifier must be provided when 

optionalOrSuppFieldsSeparatelyReported is 'Y'.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@legalEntityIdentifier cftcBatch/cftcForm102/relatedAccount/relatedEntity/@optionalOrSuppFieldsSeparatelyRepor

ted='Y'

5703 The legal entity identifier (LEI) should not be null 

when optionalOrSuppFieldsSeparatelyReported 

indicator is set to 'Y' 

Legal Entity Identifier must be provided when 

optionalOrSuppFieldsSeparatelyReported is 'Y'.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@legalEntityIdentifier cftcBatch/cftcForm102/relatedAccount/relatedEntity/@optionalOrSuppFieldsSeparatelyRepor

ted='Y'

6703 The legal entity identifier (LEI) should not be null 

when optionalOrSuppFieldsSeparatelyReported 

indicator is set to 'Y' 

Legal Entity Identifier must be provided when 

optionalOrSuppFieldsSeparatelyReported is 'Y'.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@legalEntityIdentifier cftcBatch/cftcForm102/relatedAccount/relatedEntity/@optionalOrSuppFieldsSeparatelyRepor

ted='Y'

102 

coversheet

704 4704 If Optional Fields or Supplemental Fields Reported 

to LEI Provider is 'Y' then the following fields are 

not required if these fields exist in the LEI 

database. 

LegalEntityName 

Street

City

State

Country

PostalCode 

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

 

For the cover sheet, the Optional/Supplemental 

fields which were marked as separately reported to 

an LEI provider could not be matched against LEI 

provider data.

cftcBatch/cftcForm102/@legalEntityName cftcBatch/cftcForm102/@street 

cftcBatch/cftcForm102/@city cftcBatch/cftcForm102/@state 

cftcBatch/cftcForm102/@country cftcBatch/cftcForm102/@postalCode

cftcBatch/cftcForm102/contact/@lastName 

cftcBatch/cftcForm102/contact/@firstName 

cftcBatch/cftcForm102/contact/@titleOrPosition

cftcBatch/cftcForm102/contact/@telephone

cftcBatch/cftcForm102/contact/@email

cftcBatch/cftcForm102/@optionalOrSuppFieldsSeparatelyReported='Y'

OptionalOrSuppFields Page 23
Form 102 Validation Rules Version 2.0 - Final

5704 If Optional Fields or Supplemental Fields Reported 

to LEI Provider is 'Y' then the following fields are 

not required if these fields exist in the LEI 

database. 

LegalEntityName 

Street

City

State

Country

PostalCode 

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

 

For the cover sheet, the Optional/Supplemental 

fields which were marked as separately reported to 

an LEI provider could not be matched against LEI 

provider data.

cftcBatch/cftcForm102/@legalEntityName cftcBatch/cftcForm102/@street 

cftcBatch/cftcForm102/@city cftcBatch/cftcForm102/@state 

cftcBatch/cftcForm102/@country cftcBatch/cftcForm102/@postalCode

cftcBatch/cftcForm102/contact/@lastName 

cftcBatch/cftcForm102/contact/@firstName 

cftcBatch/cftcForm102/contact/@titleOrPosition

cftcBatch/cftcForm102/contact/@telephone

cftcBatch/cftcForm102/contact/@email

cftcBatch/cftcForm102/@optionalOrSuppFieldsSeparatelyReported='Y'

6704 If Optional Fields or Supplemental Fields Reported 

to LEI Provider is 'Y' then the following fields are 

not required if these fields exist in the LEI 

database. 

LegalEntityName 

Street

City

State

Country

PostalCode 

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

 

For the cover sheet, the Optional/Supplemental 

fields which were marked as separately reported to 

an LEI provider could not be matched against LEI 

provider data.

cftcBatch/cftcForm102/@legalEntityName cftcBatch/cftcForm102/@street 

cftcBatch/cftcForm102/@city cftcBatch/cftcForm102/@state 

cftcBatch/cftcForm102/@country cftcBatch/cftcForm102/@postalCode

cftcBatch/cftcForm102/contact/@lastName 

cftcBatch/cftcForm102/contact/@firstName 

cftcBatch/cftcForm102/contact/@titleOrPosition

cftcBatch/cftcForm102/contact/@telephone

cftcBatch/cftcForm102/contact/@email

cftcBatch/cftcForm102/@optionalOrSuppFieldsSeparatelyReported='Y'

2,6(102A) 

2,7(102A)

707 If a Special Account Controller EntityType is 'LE' or 

a Special Account Owner EntityType is 'LE' and if 

Optional Fields or Supplemental Fields Reported to 

LEI Provider is 'Y' then the following fields are not 

required if these fields exist in the LEI database. 

LegalEntityName 

street

City

state

Country

PostalCode

Telephone

Email

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

For a Special Account Controller identified as a legal 

entity or a Special Account Owner identified as a 

legal entity, specific information fields are required. 

The Optional/Supplemental fields which were 

marked as separately reported to an LEI provider 

could not be matched against LEI provider data.

cftcBatch/cftcForm102/relatedEntity@legalEntityName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/@email

cftcBatch/cftcForm102/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/relatedEntity/contact/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@originReason in ('CC','OC')

cftcBatch/cftcForm102/relatedEntity/@entityType='LE'

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y' 

cftcBatch/cftcForm102/relatedEntity/@isController='Y' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y'

OptionalOrSuppFields Page 24
Form 102 Validation Rules Version 2.0 - Final

2,6(102A) 

2,7(102A)

708 If a Special Account Controller EntityType is 'NP' or 

a Special Account Owner is 'NP' and if Optional 

Fields or Supplemental Fields Reported to LEI 

Provider is 'Y' then the following fields are not 

required if these fields exist in the LEI database. 

FirstName

LastName 

street

City

state

Country

PostalCode

Telephone

Email

 

For a Special Account Controller identified as a 

natural person or a Special Account Owner 

identified as a natural person, specific information 

fields are required. The Optional/Supplemental 

fields which were marked as separately reported to 

an LEI provider could not be matched against LEI 

provider data.

cftcBatch/cftcForm102/relatedEntity/@firstName

cftcBatch/cftcForm102/relatedEntity/@lastName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/@email

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@originReason in ('CC','OC')

cftcBatch/cftcForm102/relatedEntity/@entityType='NP' 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y' 

cftcBatch/cftcForm102/relatedEntity/@isController='Y' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y'

2,8(102A) 709 For an Omnibus Account Originator Entity (which 

can only be 'LE'), if Optional Fields or 

Supplemental Fields Reported to LEI Provider is 'Y' 

then the following fields are not required if these 

fields exist in the LEI database. 

LegalEntityName 

street

City

state

Country

PostalCode

Telephone

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

For an Omnibus Account Originator, specific 

information fields are required. The 

Optional/Supplemental fields which were marked 

as separately reported to an LEI provider could not 

be matched against LEI provider data.

cftcBatch/cftcForm102/relatedEntity@legalEntityName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/relatedEntity/contact/@telephone 

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@originReason='OM'

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y' 

cftcBatch/cftcForm102/@isOmnibus='Y'

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y'

2,10(i)(102A

)

710 For a Trading Account Omnibus Account Entity 

(which can only be 'LE'), if Optional Fields or 

Supplemental Fields Reported to LEI Provider is 'Y' 

then the following fields are not required if these 

fields exist in the LEI database. 

LegalEntityName 

street

City

state

Country

PostalCode

Telephone

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

For each identified Trading Account that is an 

Omnibus Account, specific information fields are 

required. The Optional/Supplemental fields which 

were marked as separately reported to an LEI 

provider could not be matched against LEI provider 

data.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@legalEntityName

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@street

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@city

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@state

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@country

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@telephone

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@optionalOrSuppFieldsSeparatelyRepor

ted='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOriginator='Y'

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='LE'

2,10(ii)(102

A)

711 If a Trading Account Owner EntityType is 'LE' and if 

Optional Fields or Supplemental Fields Reported to 

LEI Provider is 'Y', then the Legal or registered 

name of the trading account owner is not required 

to be provided if this field exists in the LEI 

database.

The Trading Account Owner was identified as a 

legal entity whose name was marked as separately 

reported to an LEI provider. Using the provided LEI, 

the name could not be matched against LEI 

provider data.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@legalEntityName cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@optionalOrSuppFieldsSeparatelyRepor

ted='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='LE' 

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y' 

OptionalOrSuppFields Page 25
Form 102 Validation Rules Version 2.0 - Final

2,10(ii)(102

A)

712 If a Trading Account Owner EntityType is 'LE' and 

followOnInformationToCome is 'N', if Optional 

Fields or Supplemental Fields Reported to LEI 

Provider is 'Y' then the following fields are not 

required if these fields exist in the LEI database. 

Street

City

State 

Country

PostalCode

Telephone

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

For a Trading Account Owner identified as a legal 

entity, specific information fields are required. The 

Optional/Supplemental fields which were marked 

as separately reported to an LEI provider could not 

be matched against LEI provider data.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@street

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@city

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@state

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@country

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@telephone

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@email

cftcBatch/cftcForm102/relatedAccount/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@optionalOrSuppFieldsSeparatelyRepor

ted='Y'

cftcBatch/cftcForm102/@followOnInformationToCome='N' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='LE' 

2,10(ii)(102

A)

713 If a Trading Account Owner EntityType is 'NP' and 

if Optional Fields or Supplemental Fields Reported 

to LEI Provider is 'Y' then Trading account owner 

natural person first name and last name are not 

required to be provided if these fields exist in the 

LEI database. 

The Trading Account Owner was identified as a 

natural person whose name was marked as 

separately reported to an LEI provider. Using the 

provided LEI, the name could not be matched 

against LEI provider data.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@lastName

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@firstName

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@optionalOrSuppFieldsSeparatelyRepor

ted='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='NP' 

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y' 

2,10(ii)(102

A)

714 If a Trading Account Owner EntityType is 'NP' and 

followOnInformationToCome is 'N', if Optional 

Fields or Supplemental Fields Reported to LEI 

Provider is 'Y' then the following fields are not 

required if these fields exist in the LEI database. 

street

City 

State

Country

PostalCode

Telephone

Email 

For a Trading Account Owner identified as a natural 

person, specific information fields are required. 

The Optional/Supplemental fields which were 

marked as separately reported to an LEI provider 

could not be matched against LEI provider data.

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@street

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@city

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@state

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@country

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@telephone 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@email

cftcBatch/cftcForm102/@accountCategory='SA'

cftcBatch/cftcForm102/@isCM='Y'

cftcBatch/cftcForm102/relatedAccount/@isOmnibus='N'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@isOwner='Y'

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@optionalOrSuppFieldsSeparatelyRepor

ted='Y' 

cftcBatch/cftcForm102/@followOnInformationToCome='N' 

cftcBatch/cftcForm102/relatedAccount/relatedEntity/@entityType='NP' 

cftcBatch/cftcForm102/relatedAccount/@isTradingAccount='Y' 

 

4(102B) 715 For a Volume Threshold Account Omnibus Account 

Originator Entity (which can only be 'LE'), if 

Optional Fields or Supplemental Fields Reported to 

LEI Provider is 'Y' then the following fields are not 

required if these fields exist in the LEI database. 

LegalEntityName 

Street

City

State

Country

PostalCode

Telephone

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

For a Volume Threshold Account Omnibus Account 

Originator, specific information fields are required. 

The Optional/Supplemental fields which were 

marked as separately reported to an LEI provider 

could not be matched against LEI provider data.

cftcBatch/cftcForm102/relatedEntity/@entityType='LE'

cftcBatch/cftcForm102/relatedEntity@legalEntityName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/relatedEntity/contact/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='Y' 

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='LE'

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y'

5(102B) 716 If a Volume Threshold Account Owner EntityType is 

'LE', if Optional Fields or Supplemental Fields 

Reported to LEI Provider is 'Y' then 

LegalEntityName is not required to be provided if 

this field exists in the LEI database. 

The Volume Threshold Account Owner was 

identified as a legal entity whose name was marked 

as separately reported to an LEI provider. Using the 

provided LEI, the name could not be matched 

against LEI provider data.

cftcBatch/cftcForm102/relatedEntity@legalEntityName cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='LE'

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y'

OptionalOrSuppFields Page 26
Form 102 Validation Rules Version 2.0 - Final

5(102B) 717 If a Volume Threshold Account Owner EntityType is 

'LE' and followOnInformationToCome is 'N', if 

Optional Fields or Supplemental Fields Reported to 

LEI Provider is 'Y' then the following fields are not 

required if these fields exist in the LEI database. 

Street

City

State

Country

PostalCode

Telephone

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

For a Volume Threshold Account Owner identified 

as a legal entity, specific information fields are 

required. The Optional/Supplemental fields which 

were marked as separately reported to an LEI 

provider could not be matched against LEI provider 

data.

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/relatedEntity/contact/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='LE'

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y' 

cftcBatch/cftcForm102/@followOnInformationToCome ='N' 

5(102B) 718 If a Volume Threshold Account Owner EntityType is 

'NP', if Optional Fields or Supplemental Fields 

Reported to LEI Provider is 'Y' then the Owner first 

name and last name are not required to be 

provided if these fields exist in the LEI database. 

The Volume Threshold Account Owner was 

identified as a natural person whose name was 

marked as separately reported to an LEI provider. 

Using the provided LEI, the name could not be 

matched against LEI provider data.

cftcBatch/cftcForm102/relatedEntity/@lastName

cftcBatch/cftcForm102/relatedEntity/@firstName

cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='NP'

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y'

5(102B) 719 If a Volume Threshold Account Owner EntityType is 

'NP' and followOnInformationToCome is 'N', if 

Optional Fields or Supplemental Fields Reported to 

LEI Provider is 'Y' then the following fields are not 

required if these fields exist in the LEI database. 

Street

City

State

Country

PostalCode

Telephone 

Email 

For a Volume Threshold Account Owner identified 

as a natural person, specific information fields are 

required. The Optional/Supplemental fields which 

were marked as separately reported to an LEI 

provider could not be matched against LEI provider 

data.

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/@email

cftcBatch/cftcForm102/@accountCategory='VT'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='NP'

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y' 

cftcBatch/cftcForm102/@followOnInformationToCome ='N' 

3(ii)(102S) 720 For an Omnibus Account Originator Entity (which 

can only be 'LE'), if Optional Fields or 

Supplemental Fields Reported to LEI Provider is 'Y' 

then the following fields are not required if these 

fields exist in the LEI database. 

LegalEntityName 

street

City

state

Country

PostalCode

Telephone

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail 

For an Omnibus Account Originator, specific 

information fields are required. The 

Optional/Supplemental fields which were marked 

as separately reported to an LEI provider could not 

be matched against LEI provider data.

cftcBatch/cftcForm102/relatedEntity@legalEntityName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/relatedEntity/contact/@telephone 

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/@isOmnibus='Y' 

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='LE' 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y' 

OptionalOrSuppFields Page 27
Form 102 Validation Rules Version 2.0 - Final

3(iii)(102S) 721 If a Consolidated Account Owner EntityType is 'LE', 

if Optional Fields or Supplemental Fields Reported 

to LEI Provider is 'Y' then the following fields are 

not required if these fields exist in the LEI 

database. 

LegalEntityName 

street

state

City

Country

PostalCode

Telephone

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail

For a Consolidated Account Owner identified as a 

legal entity, specific information fields are required. 

The Optional/Supplemental fields which were 

marked as separately reported to an LEI provider 

could not be matched against LEI provider data.

cftcBatch/cftcForm102/relatedEntity@legalEntityName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/relatedEntity/contact/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='LE' 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y' 

3(iiii)(102S) 722 If a Consolidated Account Owner EntityType is 'NP', 

if Optional Fields or Supplemental Fields Reported 

to LEI Provider is 'Y' then the following fields are 

not required if these fields exist in the LEI 

database. 

FirstName

LastName 

street

City

state

Country

PostalCode

Telephone

Email

For a Consolidated Account Owner identified as a 

natural person, specific information fields are 

required. The Optional/Supplemental fields which 

were marked as separately reported to an LEI 

provider could not be matched against LEI provider 

data.

cftcBatch/cftcForm102/relatedEntity/@firstName

cftcBatch/cftcForm102/relatedEntity/@lastName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/@email

cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isOwner='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='NP' 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y' 

3(iii)(102S) 723 If a Consolidated Account Controller EntityType is 

'LE', if Optional Fields or Supplemental Fields 

Reported to LEI Provider is 'Y' then the following 

fields are not required if these fields exist in the LEI 

database. 

LegalEntityName 

street

state

City

Country

PostalCode

Telephone 

Email

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail

For a Consolidated Account Controller identified as 

a legal entity, specific information fields are 

required. The Optional/Supplemental fields which 

were marked as separately reported to an LEI 

provider could not be matched against LEI provider 

data.

cftcBatch/cftcForm102/relatedEntity@legalEntityName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone 

cftcBatch/cftcForm102/relatedEntity/@email 

cftcBatch/cftcForm102/relatedEntity/contact/@lastName

cftcBatch/cftcForm102/relatedEntity/contact/@firstName

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition

cftcBatch/cftcForm102/relatedEntity/contact/@relationship

cftcBatch/cftcForm102/relatedEntity/contact/@telephone

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isController='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='LE' 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y' 

OptionalOrSuppFields Page 28
Form 102 Validation Rules Version 2.0 - Final

3(iii)(102S) 724 If a Consolidated Account Controller EntityType is 

'NP', if Optional Fields or Supplemental Fields 

Reported to LEI Provider is 'Y' then the following 

fields are not required if these fields exist in the LEI 

database. 

FirstName

LastName 

street

City

state

Country

PostalCode

Telephone

Email

For a Consolidated Account Controller identified as 

a natural person, specific information fields are 

required. The Optional/Supplemental fields which 

were marked as separately reported to an LEI 

provider could not be matched against LEI provider 

data.

cftcBatch/cftcForm102/relatedEntity/@firstName

cftcBatch/cftcForm102/relatedEntity/@lastName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/@email

cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/@isOmnibus='N' 

cftcBatch/cftcForm102/relatedEntity/@isController='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='NP' 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y' 

June 2016 

NAL

727 For an Omnibus Consolidated Account Originator 

Entity (which can only be 'LE'), if Optional Fields or 

Supplemental Fields Reported to LEI Provider is 'Y' 

then the following fields are not required if these 

fields exist in the LEI database: 

LegalEntityName 

Street 

City 

State 

Country 

PostalCode 

Telephone 

ContactLastName 

ContactFirstName 

ContactTitle 

ContactRelationship 

ContactTelephone 

ContactEmail

For an Omnibus Account Originator, specific 

information fields are required. The 

Optional/Supplemental fields which were marked 

as separately reported to an LEI provider could not 

be matched against LEI provider data.

cftcBatch/cftcForm102/relatedEntity@legalEntityName 

cftcBatch/cftcForm102/relatedEntity/@street 

cftcBatch/cftcForm102/relatedEntity/@city 

 cftcBatch/cftcForm102/relatedEntity/@state 

cftcBatch/cftcForm102/relatedEntity/@country 

cftcBatch/cftcForm102/relatedEntity/@postalCode 

cftcBatch/cftcForm102/relatedEntity/@telephone 

cftcBatch/cftcForm102/relatedEntity/contact/@lastName 

cftcBatch/cftcForm102/relatedEntity/contact/@firstName 

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition 

cftcBatch/cftcForm102/relatedEntity/contact/@relationship 

cftcBatch/cftcForm102/relatedEntity/contact/@telephone 

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='CA' 

cftcBatch/cftcForm102/@isOmnibus='Y' 

cftcBatch/cftcForm102/relatedEntity/@isOriginator='Y' 

cftcBatch/cftcForm102/relatedEntity/@entityType='LE' 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y' 

cftcBatch/cftcForm102/relatedEntity/@isCounterparty ='Y'

NAL 728 If a Consolidated Account Counterparty EntityType 

is 'LE', if Optional Fields or Supplemental Fields 

Reported to LEI Provider is 'Y' then the following 

fields are not required if these fields exist in the LEI 

database. 

LegalEntityName 

street

state

City

Country

PostalCode

Telephone

ContactLastName

ContactFirstName

ContactTitle

ContactRelationship

ContactTelephone

ContactEmail

For a Consolidated Account Counterparty identified 

as a legal entity, specific information fields are 

required. The Optional/Supplemental fields which 

were marked as separately reported to an LEI 

provider could not be matched against LEI provider 

data.

cftcBatch/cftcForm102/relatedEntity@legalEntityName 

cftcBatch/cftcForm102/relatedEntity/@street 

cftcBatch/cftcForm102/relatedEntity/@city 

cftcBatch/cftcForm102/relatedEntity/@state 

cftcBatch/cftcForm102/relatedEntity/@country 

cftcBatch/cftcForm102/relatedEntity/@postalCode 

cftcBatch/cftcForm102/relatedEntity/@telephone 

cftcBatch/cftcForm102/relatedEntity/contact/@lastName 

cftcBatch/cftcForm102/relatedEntity/contact/@firstName 

cftcBatch/cftcForm102/relatedEntity/contact/@titleOrPosition 

cftcBatch/cftcForm102/relatedEntity/contact/@relationship 

cftcBatch/cftcForm102/relatedEntity/contact/@telephone 

cftcBatch/cftcForm102/relatedEntity/contact/@email

cftcBatch/cftcForm102/@accountCategory='CA' 

cftcBatch/cftcForm102/relatedEntity/@entityType='LE' 

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='Y' 

cftcBatch/cftcForm102/relatedEntity/@isCounterparty ='Y'

OptionalOrSuppFields Page 29
Form 102 Validation Rules Version 2.0 - Final

NAL 729 If a Consolidated Account Counterparty EntityType 

is 'NP' and if Optional Fields or Supplemental 

Fields Reported to LEI Provider is 'Y' then the 

following fields are not required if these fields exist 

in the LEI database. 

FirstName 

 LastName 

Street 

City 

State 

Country 

PostalCode 

Telephone 

Email

For a Consolidated Account Counterparty identified 

as a natural person, specific information fields are 

required. The Optional/Supplemental fields which 

were marked as separately reported to an LEI 

provider could not be matched against LEI provider 

data.

cftcBatch/cftcForm102/relatedEntity/@firstName

cftcBatch/cftcForm102/relatedEntity/@lastName

cftcBatch/cftcForm102/relatedEntity/@street

cftcBatch/cftcForm102/relatedEntity/@city

cftcBatch/cftcForm102/relatedEntity/@state

cftcBatch/cftcForm102/relatedEntity/@country

cftcBatch/cftcForm102/relatedEntity/@postalCode

cftcBatch/cftcForm102/relatedEntity/@telephone

cftcBatch/cftcForm102/relatedEntity/@email

cftcBatch/cftcForm102/@accountCategory='CA'

cftcBatch/cftcForm102/relatedEntity/@entityType='NP'

cftcBatch/cftcForm102/relatedEntity/@optionalOrSuppFieldsSeparatelyReported='N' 

cftcBatch/cftcForm102/relatedEntity/@isCounterparty ='Y'

OptionalOrSuppFields Page 30