May 25, 2016 Page 1 of 291

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

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

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

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

contains the regulatory requirements applicable to parties submitting the forms described 

Technical Guidance Document for 17 

CFR Parts 15, 17, 18, and 20 Ownership 

and Control Reports, Forms 102/102S, 

40/40S, and 71

Ownership and Control Reports

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

Technical Guidance Document

May 25, 2016

Version 45.1

CFTC

Commodity Futures Trading 

Commission
May 25, 2016 Page 2 of 291

above. When reviewing this Technical Document, reporting parties should review and consult 

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

thereto. This Technical Document was drafted consistent with the OCR Final Rule, and all 

relevant communications from Commission staff are also intended to be consistent with the 

OCR Final Rule. In the event of any conflict between the requirements of the OCR Final Rule 

(including the questions and instructions on the reporting forms attached thereto) and either (a) 

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

Technical Document or the OCR Final Rule, the OCR Final Rule controls.

The OMB control number for the collection of information pursuant to the OCR Final Rule is 

3038-0103. Please be advised that pursuant to 5 CFR § 1320.5(b)(2)(i), you are not required to 

respond to the collection of information pursuant to the OCR Final Rule unless it displays a 

currently valid OMB control number.
May 25, 2016 Page 3 of 291

Table of Contents

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

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

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

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

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

Name the File(s) for XML submission ............................................................................................ 7

Assemble and Compress the File(s) .............................................................................................. 8

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

Transmit the File(s)......................................................................................................................... 9

Data Dictionary for OCR Batch Header............................................................................................10

Data Dictionary for Form 102 Cover Sheet ......................................................................................11

Data Dictionary for Form 102A – Identifying and reporting a special account............................19

Data Dictionary for Form 102B – Identifying and reporting a volume threshold account..........92

Data Dictionary for Form 102S – Identifying and reporting a consolidated account................135

Data Dictionary for Form 71 – Identification of omnibus accounts and sub-accounts ............183

Data Dictionary for Form 40 – Statement of reporting trader ......................................................215

Appendix A: SFTP Account Registration...........................................................................274

Appendix B: Supplemental Lists ........................................................................................280

Supplemental List I: List of Business Sectors and Subsectors ..................................................280

Supplemental List II: List of Commodity Group and Individual Commodities ..........................286

Supplemental List III: List of Business Purposes of Commodity Derivatives Trading.............289
May 25, 2016 Page 4 of 291

Change Log

Version Date Change

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

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

submission”

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

FTP”

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

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

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

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

the File(s) for XML submission”

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

for XML submission” 

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

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

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

OCR Batch Header”

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

“Data Dictionary for Form 102 Cover Sheet”

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

Dictionary for Form 102 Cover Sheet”

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

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

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

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

reporting of multiple reporting markets in connection with a single trading 

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

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

brokers. See row 154 in Form 102A schema 

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

170-177 in Form 102A schema

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

81-82 in Form 102S schema

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

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

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

e.g., row 10 in Form 102 Coversheet

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

row 11 in Form 102 Coversheet
May 25, 2016 Page 5 of 291

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

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

schema

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

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

102B schema

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

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

schema

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

Form 102B schema

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

102S schema

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

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

102S schema

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

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

4 7/1/2014 Added pairedSwapOrSwaptionActivity element under cftcForm102 element. 

See rows 82-84 in Form 102S schema

5 4/13/2016 Added optional tracking identifier field on filename. See “Name the File(s) for 

XML submission” 

5 4/13/2016 Added footnote reference for countries that do not have a zip code. See, e.g., 

row 12 in the Form 102 cover sheet schema 

5 4/13/2016 Fixed erroneous XML reference for Volume Threshold trading account 

number. See row 2 of Form 102B schema

5 4/13/2016 Modified various contact fields related to trading account controller as 

optional on Question 10(iii) of Form 102A.

5 4/13/2016 Modified various contact fields related to trading account controller as 

optional on Question 6 of Form 102B. 

5 4/13/2016 Added ClientReportingIssue attribute to identify data reporting quality for 

trading account controller fields on the Form 102A and Form 102B. See, e.g., 

row 143 of Form 102A schema

5 4/13/2016 Added isCounterparty attribute to identify the entity who is the counterparty 

on the Form 102S. See row 29 of Form 102S schema

5 4/13/2016 Added foreignPrivacyException attribute to identify contact fields that are 

covered by foreign privacy-protection laws. See row 31 of Form 102S schema

5.1 5/24/2016 Updated correct fields that use the foreignPrivacyException attribute covered 

by foreign privacy-protection laws.
May 25, 2016 Page 6 of 291

Introduction

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

new rules and related forms to enhance its identification of futures and swap market participants (the 

“OCR Final Rule”). These final rules leverage the Commission's current position and transaction 

reporting programs by requiring the electronic submission of trader identification and market 

participant data on amended Forms 102 and 40, and on new Form 71. The new and amended forms 

require the reporting of certain trading accounts active on reporting markets that are designated 

contract markets or swap execution facilities. Among other information, the forms collect ownership 

and control information with respect to both position-based special accounts and trading accounts that

meet specified volume-based reporting levels.

This Technical Document is intended to provide technical specifications for transmitting Forms 102A, 

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

or an updated version of this document will be provided for registration and submission procedures in 

connection with the web-based CFTC Portal.

OCR Final Rule

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

Rule, including the requirements of the reporting forms attached as an appendix thereto. Reporting 

parties should visit this link1 to view the OCR Final Rule on the Federal Register; visit this link2 to view a 

pdf copy of the OCR Final Rule. 

Technical Requirements

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

CFTC at OCRTechSupport@cftc.gov.

OCR Submission Procedure(s)

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

Electronic Form:

3

 

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

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

3 See preceding Introduction for information regarding guidance on the Portal.
May 25, 2016 Page 7 of 291

CFTC Secure FTP

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

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

3. Assemble and compress the files.

4. Connect to the CFTC FTP site.

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

Name the File(s) for XML submission

File Naming Convention – Batch Submission

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

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

File Naming Convention - Test Files

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

names. 

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

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

results of test data you have submitted.

FORMNUMBER:

Form Number Submitted 

in File

FORMNUMBER in File 

Name

Form 102a, 102b, or 102s 102

Form 71 71

Form 40 40

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

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

same form number they can be included in a single XML file. For example, if you are submitting 

multiple Form 102s, they can be in a single XML file. 

IDENTIFIER:

This field is the 3 character identifier provided by the CFTC during the account registration process.
May 25, 2016 Page 8 of 291

YYYYMMDD:

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

SOURCE:

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

File Origination SOURCE in Filename

Secure FTP Batch Submission E

FORMAT:

Format of the File FORMAT in Filename

XML formxml

TRACKING:

This field is optional. Reporting firms may use this field to supply an internal tracking number to tie back 

to their internal systems.

Assemble and Compress the File(s)

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

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

http://www.gzip.org. 

Connect to CFTC with Secure FTP 

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

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

reporters can navigate to traders.cftc.gov and use their User ID and password to login and transmit XML 

submission files. 

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

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

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

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

Keys: SSH Version 2.0 RSA key pair with bit strength between 2048 - 4096 or SSH Version 2.0 DSA 1024 

bit key pair. 

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

accounts can continue to use those accounts for OCR reporting. New reporters who do not already have 
May 25, 2016 Page 9 of 291

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

account from the CFTC. See Appendix A to this Technical Document for FTP registration steps.

Transmit the File(s)

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

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

processing the data.
Page 10 of 291

Data Dictionary for OCR Batch Header

Data 

Dictionary 

for OCR 

Batch

HeaderData

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

1. Message 

Transmit 

Datetime

Yes Date of OCR Batch 

Submission

The format is YYYYMMDDThh:mm:ss[+|-

]hh:mm, where YYYY 

is the year, MM is 

the month, DD is the 

day of the month, hh 

is the hour of the 

day, mm is the 

minute of the hour 

and [+|-]hh:mm is 

the time zone offset.

cftcBatch/cftcHeader@sentDate

2. Submission 

Contact Email

Yes Contact email for 

Batch Submission

cftcBatch/cftcHeader@email

3. Submission 

Sent By 

Identifier

Yes This field is the 3 

character identifier 

provided by the 

CFTC during the 

account 

registration 

process for firm 

submitting batch 

file

cftcBatch/cftcHeader@sentBy
May 25, 2016 Page 11 of 291

Data 

Dictionary 

for OCR 

Batch

HeaderData

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

4. On Behalf of 

identifier

No CFTC-issued 3 

character reporting 

firm identifier for 

firm reported in

submission

cftcBatch/cftcHeader@onBehalfOf

5. Form Count Yes Identifies number 

of form 

submissions 

included in batch

cftcBatch/cftcHeader@formCount

Data Dictionary for Form 102 Cover Sheet

Data 

Dictionary 

for Form

102 Cover 

SheetData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

1. Form Number Yes 102 cftcBatch/cftcForm102@formNumber

2. Reportable 

Account Type 

Indicator

Yes Indicates the type 

of account for 

which the 

reporting entity is 

SA = Special Account 

(102A)

VT = Volume 

Threshold Account 

cftcBatch/cftcForm102@accountCategory
May 25, 2016 Page 12 of 291

Data 

Dictionary 

for Form

102 Cover 

SheetData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

reporting. (102B)

CA = Consolidated 

Account (102S)

3. Follow-On 

Information 

Will be 

Submitted 

Later

Yes Indicates certain 

“Follow-On 

Information” will 

be submitted by a 

later date specified 

in § 17.024

Y = Yes

N = No

cftcBatch/cftcForm102@FollowOnInformationToCo

me

4. Optional 

Fields or 

Supplemental 

Fields 

Reported to 

LEI Provider

Yes Indicates that one 

or more “Optional 

Fields” or 

“Supplemental 

Fields” not 

included in this 

submission were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

Y = Yes

N = No

cftcBatch/cftcForm102@OptionalOrSuppFieldsSepa

ratelyReported

 

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

Appendix A of the OCR Final Rule. 
May 25, 2016 Page 13 of 291

Data 

Dictionary 

for Form

102 Cover 

SheetData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

associated with the 

LEI provided in this 

submission

5. Reporting 

Firm Entity 

Type

Conditional. 

Required if 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Entity type of the 

reporting entity

LE = Legal Entity cftcBatch/cftcForm102@entityType

6. Name of 

Reporting 

Firm

Conditional.

Required if 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Legal name of the 

reporting entity

cftcBatch/cftcForm102@legalEntityName

7. Reporting 

Firm Street 

Address

Conditional. 

Required if 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Street address of 

the reporting 

entity

cftcBatch/cftcForm102@street

8. Reporting 

Firm Suite 

No Suite of the 

reporting entity

cftcBatch/cftcForm102@suite

9. Reporting 

Firm City

Conditional. 

Required if

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

City of the 

reporting entity

cftcBatch/cftcForm102@city
May 25, 2016 Page 14 of 291

Data 

Dictionary 

for Form

102 Cover 

SheetData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

10. Reporting 

Firm State

Conditional. 

Required if

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

State/Subdivision

of the reporting 

entity

ISO 3166-2 

geopolitical 

subdivision code; 1-3 

alphanumeric 

characters

cftcBatch/cftcForm102@state

11. Reporting 

Firm Country

Conditional. 

Required if

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Country of the 

reporting entity

ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm102@country

12. Reporting 

Firm 

Zip/Postal 

Code

Conditional. 

Required if

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’5

Zip code or postal 

code of the 

reporting entity

cftcBatch/cftcForm102@postalCode

13. Reporting 

Firm Contact 

Natural 

Person Last 

Name

Conditional. 

Required if

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Surname of the 

natural person 

who is a contact at 

the reporting 

entity

cftcBatch/cftcForm102/contact@lastName

14. Reporting 

Firm Contact 

Conditional. 

Required if

Given or first in 

order name of the 

cftcBatch/cftcForm102/contact@firstName

 

5 For countries that do not have a zip/postal code, the postalCode attribute is not required
May 25, 2016 Page 15 of 291

Data 

Dictionary 

for Form

102 Cover 

SheetData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Natural 

Person First 

Name

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

natural person 

who is a contact at 

the reporting 

entity

15. Reporting 

Firm Contact 

Middle Name

No Middle name of 

the natural person 

who is a contact at 

the reporting 

entity

cftcBatch/cftcForm102/contact@middleName

16. Reporting

Firm Contact 

Suffix

No Suffix of the 

natural person 

who is a contact at 

the reporting 

entity

cftcBatch/cftcForm102/contact@nameSuffix

17. Reporting 

Firm Contact 

Job Title

Conditional. 

Required if

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Job title of the 

contact at the 

reporting entity

cftcBatch/cftcForm102/contact@titleOrPosition

18. Reporting 

Firm Contact 

Phone 

Number

Conditional. 

Required if

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Telephone number 

of the contact at 

the reporting 

entity

cftcBatch/cftcForm102/contact@telephone

19. Reporting 

Firm Contact 

Conditional. 

Required if

Email address of 

the contact at the 

cftcBatch/cftcForm102/contact@email
May 25, 2016 Page 16 of 291

Data 

Dictionary 

for Form

102 Cover 

SheetData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Email Address OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

reporting entity

20. Reporting 

Firm Website

Conditional. 

Required if 

information 

available AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

URL of the 

reporting entity’s 

website

cftcBatch/cftcForm102@website

21. Reporting 

Firm NFA ID

Conditional. 

Required if 

information 

available AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

The identification 

number given to 

the reporting 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102@NFAIdentifier

22. Reporting 

Firm Legal 

Entity 

Identifier

Conditional. 

Required if

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

reporting firm by 

the LEI issuer

cftcBatch/cftcForm102@legalEntityIdentifier
May 25, 2016 Page 17 of 291

Data 

Dictionary 

for Form

102 Cover 

SheetData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

23. Reporting 

Firm Type –

futures 

commission 

merchant

Conditional. 

Required if

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Indicates the type 

of reporting entity6

Y = Yes

N = No 

cftcBatch/cftcForm102@isFCM 

24. Reporting 

Firm Type –

clearing 

member

Conditional. 

Required if

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Indicates the type 

of reporting entity

Y = Yes

N = No

cftcBatch/cftcForm102@isCM

25. Reporting 

Firm Type –

Foreign Broker

Conditional. 

Required if

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Indicates the type 

of reporting entity

Y = Yes

N = No 

cftcBatch/cftcForm102@isFB

26. Reporting 

Firm Type –

Swap Dealer

Conditional. 

Required if

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Indicates the type 

of reporting entity

Y = Yes

N = No 

cftcBatch/cftcForm102@isSwapDealer

 

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

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

and acts as a clearing member on another of the markets).
May 25, 2016 Page 18 of 291

Data 

Dictionary 

for Form

102 Cover 

SheetData 

Element

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

27. Reporting 

Firm Type –

Other

Conditional. 

Required if

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Indicates the type 

of reporting entity

Y = Yes

N = No 

cftcBatch/cftcForm102@isOther

28. Other 

Reporting 

Firm Type

Conditional.

Required if isOther 

= ‘Y’

Entity type of the 

reporting entity if 

isOther Indicator 

was selected

cftcBatch/cftcForm102@otherDescription

29. Reporting 

Firm ID

Conditional. 

Required if 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

The alpha-numeric 

identifier assigned 

by the Commission 

to the reporting 

entity

cftcBatch/cftcForm102@reportingIdentifier
May 25, 2016 Page 19 of 291

Data Dictionary for Form 102A – Identifying and reporting a special account7

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

1. New/Modified 

Indicator 

Question 1 Yes Indicates whether 

the special account 

(102A) is:

• Special 

account 

being 

reported 

for the first 

time

• Resubmitted 

or 

modified 

N = New

M = Modified

cftcBatch/cftcForm102@infor

mationType

 

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

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

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

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

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

26789a.pdf
May 25, 2016 Page 20 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Informatio

n for a 

previously 

reported 

special 

account

2. Special 

Account 

Origination

Question 2 Yes Indicates for which 

of the following 

reasons the 

account is being 

reported

OO = Ownership of a 

reportable position8

CC = Control of a 

reportable position

OC = Ownership and 

control of a 

reportable position

OM = Omnibus 

account with a 

reportable position

cftcBatch/cftcForm102@origin

Reason

 

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

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

based solely on ownership of a reportable position at this time.
May 25, 2016 Page 21 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

3. Special 

Account 

Number

Question 3 Yes Numeric identifier 

used by the 

reporting entity to 

uniquely identify a 

special account

cftcBatch/cftcForm102@acco

untNumber

4. Special 

Account Name

Question 3 Yes The name of the 

special account 

assigned by the 

reporting firm

cftcBatch/cftcForm102@acco

untName

5. House or 

Customer 

Indicator

Question 4 Conditional. 

Required if 

originReason=‘OO’

If the reported 

special account is 

being reported 

based on 

ownership of a 

reportable 

position, indicates 

whether the 

special account is a 

house or customer 

account of the 

reporting firm9

H = House

C = Customer

cftcBatch/cftcForm102@acco

untClass

6. Omnibus 

Account

Question 5 Conditional, if 

originReason=‘OM’ 

Indicates if the 

reported special 

Y = Yes

N = No

cftcBatch/cftcForm102@isOm

nibus

 

9 See preceding footnote.
May 25, 2016 Page 22 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

then ‘Y’ else ‘N’ account is an 

omnibus account

7. Omnibus 

Account 

Information

Question 5 Conditional. 

Required if

originReason=‘OM’

If the reported 

special account is 

an omnibus 

account, indicate 

whether the 

account is a house 

or customer 

omnibus account

H = House

C = Customer

cftcBatch/cftcForm102@acco

untClass

SPECIAL ACCOUNT OWNER(S) CONTACT INFORMATION

8. Special 

Account 

Owner 

Indicator

Question 6 Conditional, if 

originReason=‘OC’

then isOwner = ‘Y’

Indicates reporting 

special account 

owner

Y = Yes

N = No

cftcBatch/cftcForm102/relate

dEntity@isOwner

9. Special 

Account 

Owner Type 

Indicator

Question 6 Conditional. 

Required if

originReason=‘OC’

Indicates whether 

the special account 

owner is a legal 

entity or natural 

person

LE = Legal Entity

NP = Natural Person

cftcBatch/cftcForm102/relate

dEntity@entityType

10. Special 

Account 

Owner 

Optional 

Fields or 

Supplemental 

Question 6 Conditional. 

Required if

originReason=‘OC’

Indicates that one 

or more “Optional 

Fields” or 

“Supplemental 

Fields” not 

included in this 

Y = Yes

N = No

cftcBatch/cftcForm102/

relatedEntity@

OptionalOrSuppFieldsSeparate

lyReported
May 25, 2016 Page 23 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Fields 

Reported to 

LEI Provider

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with the 

LEI provided in this 

submission

IF SPECIAL ACCOUNT OWNER IS A LEGAL ENTITY

11. Special 

Account 

Owner Legal 

Entity Name

Question 6 Conditional. 

Required if

originReason=‘OC’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

AND 

entityType=‘LE’

Legal or registered 

name of the 

reportable account 

owner

cftcBatch/cftcForm102/relate

dEntity@legalEntityName

IF SPECIAL ACCOUNT OWNER IS A NATURAL PERSON

12. Special 

Account 

Owner Natural 

Person Last 

Name

Question 6 Conditional. 

Required if

originReason=‘OC’ 

AND 

OptionalOrSuppFie

Surname of the 

natural person 

reportable account 

owner 

cftcBatch/cftcForm102/relate

dEntity@lastName
May 25, 2016 Page 24 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ldsSeparatelyRepor

ted =‘N’

And 

entityType=‘NP’

13. Special 

Account 

Owner Natural 

Person First 

Name

Question 6 Conditional. 

Required if

originReason=‘OC’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

AND 

entityType=‘NP’

Given or first in 

order name of the 

natural person 

reportable account 

owner

cftcBatch/cftcForm102/relate

dEntity@firstName

14. Special 

Account 

Owner Natural 

Person Middle 

Name

Question 6 Conditional. 

Required if 

information is 

available AND

originReason=‘OC’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

AND 

entityType=‘NP’

Middle name of 

the natural person 

reportable account 

owner

cftcBatch/cftcForm102/relate

dEntity@middleName

15. Special 

Account 

Owner Natural 

Person Suffix

Question 6 Conditional. 

Required if 

information is 

available AND

Suffx of the natural 

person reportable 

account owner 

cftcBatch/cftcForm102/relate

dEntity@nameSuffix
May 25, 2016 Page 25 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

originReason=‘OC’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

AND 

entityType=‘NP’

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS 

16. Special 

Account 

Owner Street 

Address

Question 6 Conditional. 

Required if

originReason=‘OC’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Street address of 

the reportable 

account owner

cftcBatch/cftcForm102/relate

dEntity@street

17. Special 

Account 

Owner Suite

Question 6 Conditional. 

Required if 

information 

available AND 

originReason = 

‘OC’ AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Suite of the 

reportable account 

owner

cftcBatch/cftcForm102/relate

dEntity@suite

18. Special 

Account 

Question 6 Conditional. 

Required if 

City of the 

reportable account 

cftcBatch/cftcForm102/relate

dEntity@city
May 25, 2016 Page 26 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Owner City originReason=‘OC’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

owner

19. Special 

Account 

Owner State

Question 6 Conditional. 

Required if 

originReason=‘OC’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/relate

dEntity@state

20. Special 

Account 

Owner 

Country

Question 6 Conditional. 

Required if 

originReason=‘OC’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm102/relate

dEntity@country

21. Special 

Account 

Owner 

Zip/Postal 

Code

Question 6 Conditional. 

Required if 

originReason=‘OC’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Zip/Postal code of 

the reportable 

account owner

cftcBatch/cftcForm102/relate

dEntity@postalCode
May 25, 2016 Page 27 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

22. Special 

Account 

Owner Phone 

Number

Question 6 Conditional. 

Required if 

originReason=‘OC’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Phone Number of 

the reportable 

account owner

cftcBatch/cftcForm102/relate

dEntity@telephone

23. Special 

Account 

Owner Email 

Address

Question 6 Conditional. 

Required if 

originReason=‘OC’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Email address of 

the reportable 

account owner

cftcBatch/cftcForm102/relate

dEntity@email

IF SPECIAL ACCOUNT OWNER IS A LEGAL ENTITY

24. Special 

Account 

Owner 

Contact Last 

Name

Question 6 Conditional. 

Required if 

originReason=‘OC’ 

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Surname of the 

contact person for 

the owner

cftcBatch/cftcForm102/relate

dEntity/contact@lastName

25. Special 

Account 

Question 6 Conditional. 

Required if 

First name of the 

contact person for 

cftcBatch/cftcForm102/relate

dEntity/contact@firstName
May 25, 2016 Page 28 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Owner 

Contact First 

Name

originReason=‘OC’ 

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

the owner

26. Special 

Account 

Owner 

Contact 

Middle Name

Question 6 Conditional. 

Required if 

information is 

available AND

originReason=‘OC’ 

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Middle name of 

the contact person 

for the owner

cftcBatch/cftcForm102/relate

dEntity/contact@middleName

27. Special 

Account 

Owner 

Contact Name 

Suffix

Question 6 Conditional. 

Required if 

information is 

available AND

originReason=‘OC’ 

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

Suffix of the 

contact person for 

the owner

cftcBatch/cftcForm102/relate

dEntity/contact@nameSuffix
May 25, 2016 Page 29 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ted =‘N’

28. Special 

Account 

Owner 

Contact Job 

Title

Question 6 Conditional. 

Required if

originReason=‘OC’ 

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Job title of the 

contact person for 

the owner

cftcBatch/cftcForm102/relate

dEntity/contact@titleOrPositi

on

29. Contact 

Relationship 

to Special 

Account 

Owner

Question 6 Conditional. 

Required if

originReason=‘OC’ 

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Contact 

relationship to the 

owner

cftcBatch/cftcForm102/relate

dEntity/contact@relationship

30. Special 

Account 

Owner 

Contact Phone 

Number

Question 6 Conditional. 

Required if 

originReason=‘OC’ 

AND 

entityType=‘LE’

AND 

Phone number of 

the contact person 

for the owner

cftcBatch/cftcForm102/relate

dEntity/contact@telephone
May 25, 2016 Page 30 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

31. Special 

Account 

Owner 

Contact Email 

Address

Question 6 Conditional. 

Required if 

originReason=‘OC’ 

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Email address of 

the contact person 

for the owner

cftcBatch/cftcForm102/relate

dEntity/contact@email

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS 

32. Special 

Account 

Owner 

Website

Question 6 Conditional. 

Required if 

information 

available AND 

originReason=‘OC’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

URL of the owner’s 

website

cftcBatch/cftcForm102/relate

dEntity@website

33. Special 

Account 

Owner NFA ID

Question 6 Conditional. 

Required if 

information 

available AND 

The identification 

number given to 

the ownership 

entity by the 

cftcBatch/cftcForm102/relate

dEntity@NFAIdentifier
May 25, 2016 Page 31 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

originReason=‘OC’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

National Futures 

Association

34. Special 

Account 

Owner Legal 

Entity 

Identifier (LEI)

Question 6 Conditional. 

Required if 

information 

available AND 

originReason=‘OC’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

ownership entity 

by the LEI issuer

cftcBatch/cftcForm102/relate

dEntity@legalEntityIdentifier

SPECIAL ACCOUNT CONTROLLER(S) CONTACT INFORMATION10

 

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

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

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

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

Final Rule pp. 69183-4. 
May 25, 2016 Page 32 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

35. Special 

Account 

Controller 

Indicator

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = ‘CC’

then isController = 

‘Y’

Indicates reporting 

special account 

controller

Y = Yes

N = No

cftcBatch/cftcForm102/relate

dEntity@isController

36. Special 

Account 

Controller 

Type Indicator

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = ‘CC’

Indicates whether 

the special account 

Controller is a legal 

entity or natural 

person

LE = Legal Entity

NP = Natural Person

cftcBatch/cftcForm102/relate

dEntity@entityType

37. Special 

Account 

Controller 

Optional 

Fields or 

Supplemental 

Fields 

Reported to 

LEI Provider

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = ‘CC’

Indicates that one 

or more “Optional 

Fields” or 

“Supplemental 

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with the 

LEI provided in this 

submission

Y = Yes

N = No

cftcBatch/cftcForm102/relate

dEntity@OptionalOrSuppField

sSeparatelyReported
May 25, 2016 Page 33 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

IF SPECIAL ACCOUNT CONTROLLER IS A LEGAL ENTITY

38. Special 

Account 

Controller 

Legal Entity 

Name

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Legal or registered 

name of the 

reportable account 

Controller

cftcBatch/cftcForm102/relate

dEntity@legalEntityName

IF SPECIAL ACCOUNT CONTROLLER IS A NATURAL PERSON

39. Special 

Account 

Controller 

Natural 

Person Last 

Name

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Surname of the 

natural person 

reportable account 

Controller (if 

natural person)

cftcBatch/cftcForm102/relate

dEntity@lastName
May 25, 2016 Page 34 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

40. Special 

Account 

Controller 

Natural 

Person First 

Name

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Given or first in 

order name of the 

natural person 

reportable account 

Controller

cftcBatch/cftcForm102/relate

dEntity@firstName

41. Special 

Account 

Controller 

Natural 

Person Middle 

Name

Question 7 Conditional. 

Required if 

information 

available AND 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Middle name of 

the natural person 

reportable account 

Controller 

cftcBatch/cftcForm102/relate

dEntity@middleName

42. Special 

Account 

Controller 

Question 7 Conditional. 

Required if 

information 

Suffix of the 

natural person 

reportable account 

cftcBatch/cftcForm102/relate

dEntity@nameSuffix
May 25, 2016 Page 35 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Natural 

Person Suffix

available AND 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Controller

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS 

43. Special 

Account 

Controller 

Street Address

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Street address of 

the reportable 

account Controller

cftcBatch/cftcForm102/relate

dEntity@street

44. Special 

Account 

Controller 

Suite

Question 7 Conditional. 

Required if 

information 

available AND 

originReason = 

‘OC’ OR 

Suite of the 

reportable account 

Controller

cftcBatch/cftcForm102/relate

dEntity@suite
May 25, 2016 Page 36 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

originReason = ‘CC’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

45. Special 

Account 

Controller City

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

City of the 

reportable account 

Controller

cftcBatch/cftcForm102/relate

dEntity@city

46. Special 

Account 

Controller 

State

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/relate

dEntity@state

47. Special 

Account 

Controller 

Country

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm102/relate

dEntity@country
May 25, 2016 Page 37 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

originReason = ‘CC’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

48. Special 

Account 

Controller 

Zip/Postal 

Code

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Zip/Postal code of 

the reportable 

account Controller

cftcBatch/cftcForm102/relate

dEntity@postalCode

49. Special 

Account 

Controller 

Phone 

Number

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Phone Number of 

the reportable 

account Controller

cftcBatch/cftcForm102/relate

dEntity@telephone

50. Special 

Account 

Controller 

Email Address

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

Email address of 

the reportable 

account Controller

cftcBatch/cftcForm102/relate

dEntity@email
May 25, 2016 Page 38 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

originReason = ‘CC’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

IF SPECIAL ACCOUNT CONTROLLER IS A LEGAL ENTITY

51. Special 

Account 

Controller 

Contact Last 

Name

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Surname of the 

natural person 

contact for the 

Controller 

cftcBatch/cftcForm102/relate

dEntity/contact@lastName

52. Special 

Account 

Controller 

Contact First 

Name

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND

entityType=‘ LE’

First name of the 

natural person 

contact for the 

Controller

cftcBatch/cftcForm102/relate

dEntity/contact@firstName
May 25, 2016 Page 39 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

53. Special 

Account 

Controller 

Contact 

Middle Name

Question 7 Conditional. 

Required if 

information is 

available AND

originReason=‘OC’ 

OR originReason = 

‘CC’ AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Middle name of 

the contact person 

for the Controller

cftcBatch/cftcForm102/relate

dEntity/contact@middleName

54. Special 

Account 

Controller 

Contact Name 

Suffix

Question 7 Conditional. 

Required if 

information is 

available AND

originReason=‘OC’ 

OR originReason = 

‘CC’ AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘N’

Suffix of the 

contact person for 

the Controller

cftcBatch/cftcForm102/relate

dEntity/contact@nameSuffix
May 25, 2016 Page 40 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

55. Special 

Account 

Controller 

Contact Job 

Title

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND

entityType=‘ LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Job title of the 

contact person for 

Controller entity

cftcBatch/cftcForm102/relate

dEntity/contact@titleOrPositi

on

56. Contact 

Relationship 

to Special 

Account 

Controller

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND

entityType=‘ LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Contact 

relationship to the 

controller

cftcBatch/cftcForm102/relate

dEntity/contact@relationship

57. Special 

Account 

Controller 

Contact Phone 

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

Phone number of 

the contact person 

for the Controller 

entity 

cftcBatch/cftcForm102/relate

dEntity/contact@telephone
May 25, 2016 Page 41 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Number originReason = ‘CC’

AND

entityType=‘ LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

58. Special 

Account 

Controller 

Contact Email 

Address

Question 7 Conditional. 

Required if 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND

entityType=‘ LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Email address of 

the contact person 

for the Controller 

entity 

cftcBatch/cftcForm102/relate

dEntity/contact@email

59. Special 

Account 

Controller 

Website

Question 7 Conditional. 

Required if 

information 

available AND 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND 

URL of the 

Controller’s 

website

cftcBatch/cftcForm102/relate

dEntity@website
May 25, 2016 Page 42 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

60. Special 

Account 

Controller NFA 

ID

Question 7 Conditional. 

Required if 

information 

available AND 

originReason = 

‘OC’ OR 

originReason = ‘CC’

AND

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

The identification 

number given to 

the Controller 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/relate

dEntity@NFAIdentifier

61. Special 

Account 

Controller 

Legal Entity 

Identifier (LEI)

Question 7 Conditional. 

Required if 

information 

available AND 

originReason = 

‘OC’ OR 

originReason = ‘CC’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

Controller entity by 

the LEI issuer

cftcBatch/cftcForm102/relate

dEntity@legalEntityIdentifier

OMNIBUS ACCOUNT ORIGINATOR CONTACT INFORMATION
May 25, 2016 Page 43 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

62. Omnibus 

Account 

Originator 

Indicator

Question 8 Conditional. 

Required if 

originReason = 

‘OM’ Then 

isOriginator=‘Y’

Indicates reporting 

special account 

orginiator

Y = Yes

N = No

cftcBatch/cftcForm102/relate

dEntity@isOriginator

63. Omnibus 

Account 

Originator 

Optional 

Fields or 

Supplemental 

Fields 

Reported to 

LEI Provider

Question 8 Conditional.

Required if 

originReason=‘OM’

Indicates that one 

or more “Optional 

Fields” or 

“Supplemental 

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with the 

LEI provided in this 

submission

Y = Yes

N = No

cftcBatch/cftcForm102/relate

dEntity@OptionalOrSuppField

sSeparatelyReported

64. Omnibus 

Account 

Originator 

Entity Type

Question 8 Yes, 

entityType=‘LE’

LE = Legal Entity cftcBatch/cftcForm102/relate

dEntity@entityType

65. Omnibus 

Account 

Originator 

Name

Question 8 Conditional. 

Required if 

originReason=‘OM’ 

AND 

Legal name of the 

reportable account 

Originator

cftcBatch/cftcForm102/relate

dEntity@legalEntityName
May 25, 2016 Page 44 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

AND 

entityType=‘LE’

66. Omnibus 

Account 

Originator 

Street Address

Question 8 Conditional. 

Required if 

originReason=‘OM’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

Street address of 

the reportable 

account Originator

cftcBatch/cftcForm102/relate

dEntity@street

67. Omnibus 

Account 

Originator 

Suite

Question 8 Conditional. 

Required if 

information 

available AND 

originReason=‘OM’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

Suite of the 

reportable account 

Originator

cftcBatch/cftcForm102/relate

dEntity@suite

68. Omnibus 

Account 

Originator City

Question 8 Conditional. 

Required if 

originReason=‘OM’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

City of the 

reportable account 

Originator

cftcBatch/cftcForm102/relate

dEntity@city
May 25, 2016 Page 45 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

69. Omnibus 

Account 

Originator 

State

Question 8 Conditional. 

Required if 

originReason=‘OM’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/relate

dEntity@state

70. Omnibus 

Account 

Originator 

Country

Question 8 Conditional. 

Required if 

originReason=‘OM’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm102/relate

dEntity@country

71. Omnibus 

Account 

Originator 

Zip/Postal 

Code

Question 8 Conditional. 

Required if 

originReason=‘OM’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

Zip/Postal code of 

the reportable 

account Originator

cftcBatch/cftcForm102/relate

dEntity@postalCode

72. Omnibus 

Account 

Originator 

Phone 

Number

Question 8 Conditional. 

Required if 

originReason=‘OM’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

Phone Number of 

the reportable 

account Originator

cftcBatch/cftcForm102/relate

dEntity@telephone
May 25, 2016 Page 46 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

73. Omnibus 

Account 

Originator 

Contact Last 

Name

Question 8 Conditional. 

Required if 

originReason=‘OM’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

Surname of the 

natural person 

contact for the 

Originator 

cftcBatch/cftcForm102/relate

dEntity/contact@lastName

74. Omnibus 

Account 

Originator 

Contact First 

Name

Question 8 Conditional. 

Required if 

originReason=‘OM’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

First name of the 

natural person 

contact for the 

Originator

cftcBatch/cftcForm102/relate

dEntity/contact@firstName

75. Omnibus 

Account 

Originator 

Contact 

Middle Name

Question 8 Conditional. 

Required if 

originReason=‘OM’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

Middle name of 

the natural person 

contact for the 

Originator

cftcBatch/cftcForm102/relate

dEntity/contact@middleName

76. Omnibus 

Account 

Originator 

Contact Suffix

Question 8 Conditional. 

Required if 

originReason=‘OM’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

Suffix of the 

natural person 

contact for the 

Originator

cftcBatch/cftcForm102/relate

dEntity/contact@nameSuffix
May 25, 2016 Page 47 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

77. Omnibus 

Account 

Originator 

Contact Job 

Title

Question 8 Conditional. 

Required if 

originReason=‘OM’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

Job title of the 

contact person at 

or related to the 

Originator entity

cftcBatch/cftcForm102/relate

dEntity/contact@titleOrPositi

on

78. Contact 

Relationship 

to Omnibus 

Account 

Originator

Question 8 Conditional. 

Required if 

originReason=‘OM’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

Contact 

relationship to the 

Originator entity

cftcBatch/cftcForm102/relate

dEntity/contact@relationship

79. Omnibus 

Account 

Originator 

Contact Phone 

Number

Question 8 Conditional. 

Required if 

originReason=‘OM’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

Phone number of 

the contact person 

for the Originator 

entity 

cftcBatch/cftcForm102/relate

dEntity/contact@telephone

80. Omnibus 

Account 

Originator 

Contact Email 

Address

Question 8 Conditional. 

Required if 

originReason=‘OM’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

Email address of 

the contact person 

for the Originator 

entity 

cftcBatch/cftcForm102/relate

dEntity/contact@email
May 25, 2016 Page 48 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

81. Omnibus 

Account 

Originator 

Website

Question 8 Conditional. 

Required if 

information 

available AND 

originReason=‘OM’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’

URL of the 

Originator’s 

website

cftcBatch/cftcForm102/relate

dEntity@website

82. Special 

Account 

Originator 

NFA ID

Question 8 Conditional. 

Required if 

information 

available AND 

originReason=‘OM’

AND

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

The identification 

number given to 

the Originator 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/relate

dEntity@NFAIdentifier

83. Omnibus 

Account 

Originator 

Legal Entity 

Identifier (LEI)

Question 8 Conditional. 

Required if 

information 

available AND 

originReason=‘OM’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘Y’

The legal entity

identifier (LEI) 

assigned to the 

Originator entity 

by the LEI issuer

cftcBatch/cftcForm102/relate

dEntity@legalEntityIdentifier
May 25, 2016 Page 49 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

IDENTIFICATION OF TRADING ACCOUNT(S) THAT COMPRISE THE SPECIAL ACCOUNT11

84. Special 

Account 

Trading 

Account 

Indicator

Question 9 Yes, 

isTradingAccount=‘

Y’

Y = Yes

N = No

cftcBatch/cftcForm102/relate

dAccount@isTradingAccount

85. Special 

Account 

Trading 

Account 

Number

Question 9 Conditional. 

Required if 

isTradingAccount=‘

Y’

For each special 

account reported 

by an entity acting 

as a clearing 

member, provide 

the trading 

account number

cftcBatch/cftcForm102/relate

dAccount@accountNumber

86. Short Code Question 9 Conditional. 

Required if 

isTradingAccount=‘

Y’

For each special 

account reported 

by an entity acting 

as a clearing 

member, provide 

cftcBatch/cftcForm102/relate

dAccount/relatedAcctInfo@ac

countShortCode

 

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

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

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

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

execute transactions in the same commodity or commodities in which the special account has a reportable position.”
May 25, 2016 Page 50 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

the related short 

code

87. Reporting 

Market12

Question 9 Conditional. 

Required if 

isTradingAccount=‘

Y’

Identify the 

reporting market 

at which each 

trading account 

number appears

ISO Market Identifier 

Code (MIC) located 

at: 

http://www.iso1502

2.org/MIC/homepag

eMIC.htm13

cftcBatch/cftcForm102/relate

dAccount/relatedAcctInfo 

@marketIdentifier

TRADING ACCOUNT OWNERSHIP AND CONTROL INFORMATION

OMNIBUS ACCOUNT INFORMATION

88. Trading 

Account 

Omnibus 

Account 

Question 10i Conditional. 

Required if 

isTradingAccount=‘

Y’

For each trading 

account identified 

in question 9, is 

such account an 

Y = Yes

N = No

cftcBatch/cftcForm102/relate

dAccount@isOmnibus

 

12 See preceding footnote. 

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

by the CFTC. 
May 25, 2016 Page 51 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Indicator omnibus account

89. House or 

Customer 

Indicator

Question 10i Conditional. 

Required if 

isTradingAccount=‘

Y’

AND isOmnibus 

=‘Y’

If the reportable 

Trading Account is 

being reported as 

an Omnibus 

Account indicate 

whether the 

Trading Account 

Omnibus Account 

is a house or 

customer account 

of the reporting 

firm

H = House

C = Customer

cftcBatch/cftcForm102/relate

dAccount@accountClass

90. Trading 

Account 

Omnibus 

Account 

Originator 

Indicator

Question 10i Conditional, if 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’

THEN isOriginator 

= ‘Y’

Indicates 

reportable Trading 

Account Omnibus 

Account orginiator

Y = Yes

N = No

cftcBatch/cftcForm102/relate

dAccount/relatedEntity@isOri

ginator

91. Trading 

Account 

Omnibus 

Account 

Optional 

Fields or 

Question 10i Conditional, if 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’

Indicates that one 

or more “Optional 

Fields” or 

“Supplemental 

Fields” not 

included in this 

Y = Yes

N = No

cftcBatch/cftcForm102/relate

dAccount/relatedEntity@ 

OptionalOrSuppFieldsSeparate

lyReported
May 25, 2016 Page 52 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Supplemental 

Fields 

Reported to 

LEI Provider

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with the 

LEI provided in this 

submission

92. Trading 

Account 

Omnibus 

Account Entity 

Type

Question 10i Yes, entityType = 

‘LE’

LE=Legal Entity cftcBatch/cftcForm102/relate

dAccount/relatedEntity@entit

yType

93. Trading 

Account 

Omnibus 

Account 

Originator 

Name

Question 10i Conditional. 

Required if 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Name of omnibus 

trading account 

originator 

cftcBatch/cftcForm102/relate

dAccount/relatedEntity@legal

EntityName

94. Trading 

Account 

Omnibus 

Question 10i Conditional. 

Required if 

isTradingAccount=‘

Street address of 

omnibus trading 

account Originator

cftcBatch/cftcForm102/relate

dAccount/relatedEntity@stree

t
May 25, 2016 Page 53 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Account 

Originator 

Street Address

Y’ 

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

95. Trading 

Account 

Omnibus 

Account 

Originator 

Suite

Question 10i Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Suite of omnibus 

trading account 

Originator

cftcBatch/cftcForm102/relate

dAccount/relatedEntity@suite

96. Trading 

Account 

Omnibus 

Account 

Originator City

Question 10i Conditional. 

Required if 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

City of the 

omnibus trading 

account Originator

cftcBatch/cftcForm102/relate

dAccount/relatedEntity@city
May 25, 2016 Page 54 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ted = ‘N’

97. Trading 

Account 

Omnibus 

Account 

Originator 

State

Question 10i Conditional. 

Required if 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/relate

dAccount/relatedEntity@state

98. Trading 

Account 

Omnibus 

Account 

Originator 

Country

Question 10i Conditional. 

Required if 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm102/relate

dAccount/relatedEntity@coun

try

99. Trading 

Account 

Omnibus 

Account 

Originator 

Question 10i Conditional. 

Required if 

isTradingAccount=‘

Y’ 

AND isOmnibus 

Zip/Postal code of 

the omnibus 

trading account 

Originator

cftcBatch/cftcForm102/relate

dAccount/relatedEntity@post

alCode
May 25, 2016 Page 55 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Zip/Postal 

Code

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

100. Trading 

Account 

Omnibus 

Account 

Originator 

Phone 

Number

Question 10i Conditional. 

Required if 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’ AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Phone Number of 

the omnibus 

trading account 

Originator

cftcBatch/cftcForm102/relate

dAccount/relatedEntity@telep

hone

101. Trading 

Account 

Omnibus 

Account 

Originator 

Contact Last 

Name

Question 10i Conditional. 

Required if 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Surname of the 

contact for the 

Originator 

cftcBatch/cftcForm102/relate

dAccount/relatedEntity/conta

ct@lastName
May 25, 2016 Page 56 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

102. Trading 

Account 

Omnibus 

Account 

Originator 

Contact First 

Name

Question 10i Conditional. 

Required if 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

First name of the 

contact for the 

Originator

cftcBatch/cftcForm102/relate

dAccount/relatedEntity/conta

ct@firstName

103. Trading 

Account 

Omnibus 

Account 

Contact 

Middle Name

Question 10i Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Middle name of 

the contact for the 

Originator

cftcBatch/cftcForm102/relate

dAccount/relatedEntity/conta

ct@middleName

104. Trading 

Account 

Question 10i Conditional. 

Required if 

Suffix of the 

contact for the 

cftcBatch/cftcForm102/relate

dAccount/relatedEntity/conta
May 25, 2016 Page 57 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Omnibus 

Account 

Contact Suffix

information 

available AND 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Originator ct@nameSuffix

105. Trading 

Account 

Omnibus 

Account 

Originator 

Contact Job 

Title

Question 10i Conditional. 

Required if 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Job title of the 

contact person for 

Originator entity

cftcBatch/cftcForm102/relate

dAccount/relatedEntity/conta

ct@titleOrPosition

106. Contact 

Relationship 

to Trading 

Account 

Question 10i Conditional. 

Required if 

isTradingAccount=‘

Y’ 

Contact 

relationship to the 

Originator entity

cftcBatch/cftcForm102/relate

dAccount/relatedEntity/conta

ct@relationship
May 25, 2016 Page 58 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Omnibus 

Account 

Originator

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

107. Trading 

Account 

Omnibus 

Account 

Originator 

Contact Phone 

Number

Question 10i Conditional. 

Required if 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

Phone number of 

the contact person 

for the Originator 

entity

cftcBatch/cftcForm102/relate

dAccount/relatedEntity/conta

ct@telephone

108. Trading 

Account 

Omnibus 

Account 

Originator 

Contact Email 

Address

Question 10i Conditional. 

Required if 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

Email address of 

the contact person 

for the Originator 

entity

cftcBatch/cftcForm102/relate

dAccount/relatedEntity/conta

ct@email
May 25, 2016 Page 59 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

109. Trading 

Account 

Omnibus 

Account 

Originator 

Website

Question 10i Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted = ‘N’

URL of the 

Originator’s 

website

cftcBatch/cftcForm102/relate

dAccount/relatedEntity@webs

ite

110. Trading 

Account 

Omnibus 

Account 

Originator 

NFA ID

Question 10i Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppFie

The identification 

number given to 

the Originator 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/relate

dAccount/relatedEntity@NFAI

dentifier
May 25, 2016 Page 60 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ldsSeparatelyRepor

ted=‘N’

111. Trading 

Account 

Omnibus 

Account 

Originator 

Legal Entity 

Identifier (LEI)

Question 10i Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’ 

AND isOmnibus 

=‘Y’ AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

Originator entity 

by the LEI issuer

cftcBatch/cftcForm102/relate

dAccount/relatedEntity@legal

EntityIdentifier

TRADING ACCOUNT OWNER(S)

112. Trading 

Account 

Owner 

Indicator

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

THEN isOwner=‘Y’

Indicates reporting 

specialtrading

account owner

Y = Yes

N = No

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@isOwner

113. Foreign 

Privacy Law 

Exception 

Indicator

Question 10ii Conditional. 

Required if 

isOwner=’Y’

Identifies if 

reported trading 

account owner 

data is covered by 

foreign privacyY = Yes

N = No

cftcBatch/cftcForm102/relate

dAccount/relatedEntity@forei

gnPrivacyException
May 25, 2016 Page 61 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

protection laws

113.11 Trading 

Account 

Owner Type 

Indicator

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

Indicates whether 

the specialtrading

account owner is a 

legal entity or 

natural person

LE = Legal Entity

NP = Natural Person

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@entityType

114.11 Trading 

Account 

Owner 

Optional 

Fields or 

Supplemental 

Fields 

Reported to 

LEI Provider

Question 10ii Conditional, if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

Indicates that one 

or more “Optional 

Fields” or 

“Supplemental 

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with the 

LEI provided in this 

submission

Y = Yes

N = No

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@OptionalOrSuppFieldsSepara

telyReported

IF TRADING ACCOUNT OWNER IS A LEGAL ENTITY
May 25, 2016 Page 62 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

115.11 Trading 

Account 

Owner Legal 

Entity Name

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

foreignPrivacyExce

ption=’N’

Legal or registered 

name of the 

trading account 

owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@legalEntityName

IF TRADING ACCOUNT OWNER IS A NATURAL PERSON

116.11 Trading 

Account 

Owner Natural 

Person Last 

Name

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

Surname of the 

natural person 

trading account 

owner 

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@lastName
May 25, 2016 Page 63 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ldsSeparatelyRepor

ted=‘N’ AND 

foreignPrivacyExce

ption=’N’

117.11 Trading 

Account 

Owner Natural 

Person First 

Name

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

foreignPrivacyExce

ption=’N’

Given or first in 

order name of the 

natural person 

trading account 

owner 

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@firstName

118.11 Trading 

Account 

Owner Middle 

Name

Question 10ii Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

Middle name of 

the natural person 

trading account 

owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@middleName
May 25, 2016 Page 64 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

foreignPrivacyExce

ption=’N’

119.12 Trading 

Account 

Owner Suffix

Question 10ii Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

foreignPrivacyExce

ption=’N’

Suffix of the 

natural person 

trading account 

owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@nameSuffix

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS
May 25, 2016 Page 65 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

120.12 Trading 

Account 

Owner Street 

Address

Question 10ii Conditional.

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

Street address of 

the trading 

account owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@street

121.12 Trading 

Account 

Owner Suite

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

Suite of the trading 

account owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@suite
May 25, 2016 Page 66 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

122.12 Trading 

Account 

Owner City

Question 10ii Conditional.

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

City of the trading 

account owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@city

123.12 Trading 

Account 

Owner State

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@state
May 25, 2016 Page 67 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

124.12 Trading 

Account 

Owner 

Country

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@country

125.12 Trading 

Account 

Owner 

Zip/Postal 

Code

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

Zip/Postal code of 

the trading 

account owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@postalCode
May 25, 2016 Page 68 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND

foreignPrivacyExce

ption=’N’

126.12 Trading 

Account 

Owner Phone 

Number

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

Phone Number of 

the trading 

account owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@telephone

IF TRADING ACCOUNT OWNER IS A NATURAL PERSON
May 25, 2016 Page 69 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

127.12 Trading 

Account 

Owner Email 

Address

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘NP’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

Email address of 

the trading 

account owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@email

IF TRADING ACCOUNT OWNER IS A LEGAL ENTITY

128.12 Trading 

Account 

Owner 

Contact Last 

Name

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

Surname of the 

natural person 

contact for the 

owner 

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity/

contact@lastName
May 25, 2016 Page 70 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

129.13 Trading 

Account 

Owner 

Contact First 

Name

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

First name of the 

natural person 

contact for the 

owner 

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity/

contact@firstName
May 25, 2016 Page 71 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

130.13 Trading 

Account 

Owner 

Contact 

Middle Name

Question 10ii Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

Middle name of 

the natural person 

contact for the 

owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity/

contact@middleName

131.13 Trading 

Account 

Owner 

Contact Suffix

Question 10ii Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

Suffix of the 

natural person 

contact for the 

owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity/

contact@nameSuffix
May 25, 2016 Page 72 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

132.13 Trading 

Account 

Owner 

Contact Job 

Title

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

Job title of the 

contact person for 

the ownership 

entity

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity/

contact@titleOrPosition
May 25, 2016 Page 73 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

foreignPrivacyExce

ption=’N’

133.13 Contact 

Relationship 

to Trading 

Account 

Owner

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

Contact 

relationship to the 

trading account 

owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity/

contact@relationship

134.13 Trading 

Account 

Owner 

Contact Phone 

Number

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

Phone number of 

the contact person 

for the ownership 

entity

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity/

contact@telephone
May 25, 2016 Page 74 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

135.13 Trading 

Account 

Owner 

Contact Email 

Address

Question 10ii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

Email address of 

the contact person 

for the ownership 

entity 

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity/

contact@email
May 25, 2016 Page 75 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

136.13 Trading 

Account 

Owner 

Website

Question 10ii Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

URL of the owner’s 

website

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@website

137.13 Trading 

Account 

Owner NFA ID

Question 10ii Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

The identification 

number given to 

the ownership 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@NFAIdentifier
May 25, 2016 Page 76 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

138.13 Trading 

Account 

Owner Legal 

Entity 

Identifier (LEI)

Question 10ii Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepor

ted =‘Y’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

The legal entity 

identifier (LEI) 

assigned to the 

ownership entity 

by the LEI issuer

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@legalEntityIdentifier

TRADING ACCOUNT CONTROLLER(S)

139.14 Trading 

Account 

Question 10iii Conditional, if 

isTradingAccount=‘

Indicates reporting 

specialtrading

Y = Yes

N = No

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity
May 25, 2016 Page 77 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Controller 

Indicator

Y’ AND 

isOmnibus=‘N’ 

THEN 

isController=‘Y’

account Controller @isController

141. Foreign 

Privacy Law 

Exception 

Indicator

Question 10iii Conditional. 

Required if 

isController=’Y’

Identifies if 

reported trading 

account controller 

data is covered by 

foreign privacyprotection laws

Y = Yes

N = No

cftcBatch/cftcForm102/relate

dAccount/relatedEntity@forei

gnPrivacyException

140.14 Trading 

Account 

Controller 

Entity Type

Question 10iii Conditional, if 

isTradingAccount=‘

Y’ AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

THEN 

entityType=‘NP’

NP = Natural Person cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@entityType

143. Trading 

Account 

Controller 

Client 

Reporting 

Issue Indicator

Question 10iii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

0 = All trading 

account controller 

information is 

availiable and 

reported on form

1 = Client did not 

provide

2 = Data supplied by

client does not 

appear to meet the 

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@clientReportingIssue
May 25, 2016 Page 78 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

CFTC definition of 

trading account 

controller

141.14 Trading 

Account 

Controller 

Natural 

Person Last 

Name

Question 10iii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND

clientReportingIssu

e=’0’ AND 

foreignPrivacyExce

ption=’N’

Surname of the 

natural person 

trading account 

Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@lastName

142.14 Trading 

Account 

Controller 

Natural 

Person First 

Name

Question 10iii Conditional. 

Required if 

isTradingAccount=‘

Y’ AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND

clientReportingIssu

e=’0’ AND 

foreignPrivacyExce

ption=’N’

Given or first in 

order name of the 

natural person 

trading account 

Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@firstName
May 25, 2016 Page 79 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

143.14 Trading 

Account 

Controller 

Natural 

Person Middle 

Name

Question 10iii Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’ AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND

clientReportingIssu

e=’0’ AND 

foreignPrivacyExce

ption=’N’

Middle name of 

the natural person 

trading account 

Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@middleName

144.14 Trading 

Account 

Controller 

Natural 

Person Suffix

Question 10iii Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’ AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND

clientReportingIssu

e=’0’ AND 

foreignPrivacyExce

ption=’N’

Suffix of the 

natural person 

trading account 

Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@nameSuffix
May 25, 2016 Page 80 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

145.14 Trading 

Account 

Controller 

Street Address

Question 10iii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

AND

clientReportingIssu

e=’0’ AND 

foreignPrivacyExce

ption=’N’

Street address of 

the trading 

account Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@street

146.14 Trading 

Account 

Controller 

Suite

Question 10iii Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

Suite of the trading 

account Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@suite
May 25, 2016 Page 81 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

onToCome=‘N’

AND

clientReportingIssu

e=’0’ AND 

foreignPrivacyExce

ption=’N’

147.15 Trading 

Account 

Controller City

Question 10iii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

AND

clientReportingIssu

e=’0’ AND 

foreignPrivacyExce

ption=’N’

City of the trading 

account Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@city

148.15 Trading 

Account 

Controller 

State

Question 10iii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’ 

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@state
May 25, 2016 Page 82 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

AND

clientReportingIssu

e=’0’ AND 

foreignPrivacyExce

ption=’N’

149.15 Trading 

Account 

Controller 

Country

Question 10iii Conditional. 

Required if 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

AND

clientReportingIssu

e=’0’

ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@country

150.15 Trading 

Account 

Controller 

Zip/Postal 

Question 10iii Conditional. 

Required if 

isTradingAccount=‘

Y’

Zip/Postal code of 

the trading 

account Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@postalCode
May 25, 2016 Page 83 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Code AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

AND

clientReportingIssu

e=’0’ AND 

foreignPrivacyExce

ption=’N’

151.15 Trading 

Account 

Controller 

Phone 

Number

Question 10iii Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

Phone Number of 

the trading 

account Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@telephone

152.15 Trading 

Account 

Controller 

Question 10iii Conditional. 

Required if 

information 

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@employerName
May 25, 2016 Page 84 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Name of 

Employer

available AND 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

153.15 Trading 

Account 

Controller 

Employer NFA 

ID

Question 10iii Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@employerNFAIdentifier

154.15 Trading 

Account 

Controller 

Employer 

Legal Entity 

Question 10iii Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@employerLEI
May 25, 2016 Page 85 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Identifier Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

155.15 Trading 

Account 

Controller Job 

Title

Question 10iii Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

Job title of the

contact person for 

the Controller 

entity

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@titleOrPosition

156.15Relationship 

to Trading 

Account 

Owner

Question 10iii Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’

AND 

Relationship to the 

trading account 

owner

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@relationship
May 25, 2016 Page 86 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

157.16 Trading 

Account 

Controller 

Email Address

Question 10iii Conditional. 

Required if 

information 

available AND 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

Email address of 

the trading 

account Controller

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@email

158.16 Trading 

Account 

Controller NFA 

ID

Question 10iii Conditional.

Required if 

information 

available AND 

isTradingAccount=‘

Y’

AND 

isOmnibus=‘N’ 

AND 

The identification 

number given to 

the Controller 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@NFAIdentifier
May 25, 2016 Page 87 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

FOR REPORTING FIRMS THAT ARE FOREIGN BROKERS

159.16U.S. Futures 

Commission 

Merchant 

Indicator

Question 11 Conditional, if 

cftcForm102@isFB 

= ‘Y’ THEN 

relatedEntity@isFC

M = ‘Y’

Indicates U.S. 

futures 

commission 

merchant when 

reporting firm 

indicated as 

foreign broker

Y = Yes

N = No

cftcBatch/cftcForm102/relate

dEntity@isFCM14

160.16U.S. Futures 

Commission 

Merchant 

Entity Type

Question 11 Conditional, if

isFCM = ‘Y’ THEN 

entityType = ‘LE’

LE = Legal Entity cftcBatch/cftcForm102/relate

dEntity@entityType

161.16U.S. Futures 

Commission 

Merchant 

Legal Entity 

Question 11 Conditional, if

isFCM = ‘Y’ 

Legal Entity Name 

of the U.S. Futures 

Commission 

Merchant

cftcBatch/cftcForm102/relate

dEntity@legalEntityName

 

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

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

all fields should be completed with respect to each reported U.S. FCM.
May 25, 2016 Page 88 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Name

162.16U.S. Futures 

Commission 

Merchant 

Street Address

Question 11 Conditional, if

isFCM = ‘Y’

Street address of 

the reportable 

account U.S. 

Futures 

Commission 

Merchant

cftcBatch/cftcForm102/relate

dEntity@street

163.16U.S. Futures 

Commission 

Merchant 

Suite

Question 11 Conditional. 

Required if 

information 

available AND 

isFCM = ‘Y’

Suite of the 

reportable account 

U.S. Futures 

Commission 

Merchant

cftcBatch/cftcForm102/relate

dEntity@suite

164.16U.S. Futures 

Commission 

Merchant City

Question 11 Conditional, if

isFCM = ‘Y’

City of the 

reportable account 

U.S. Futures 

Commission 

Merchant

cftcBatch/cftcForm102/relate

dEntity@city

165.16U.S. Futures 

Commission 

Merchant 

State

Question 11 Conditional, if

isFCM = ‘Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/relate

dEntity@state

166.16U.S. Futures 

Commission 

Merchant 

Country

Question 11 Conditional, if

isFCM = ‘Y’

ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm102/relate

dEntity@country
May 25, 2016 Page 89 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

167.17U.S. Futures 

Commission 

Merchant 

Zip/Postal 

Code

Question 11 Conditional, if

isFCM = ‘Y’

Zip/Postal code of 

the reportable 

account U.S. 

Futures 

Commission 

Merchant

cftcBatch/cftcForm102/relate

dEntity@postalCode

168.17U.S. Futures 

Commission 

Merchant 

Contact Last 

Name

Question 11 Conditional, if

isFCM = ‘Y’

Surname of the 

natural person 

contact for the U.S. 

Futures 

Commission 

Merchant

cftcBatch/cftcForm102/relate

dEntity/contact@lastName

169.17U.S. Futures 

Commission 

Merchant 

Contact First 

Name

Question 11 Conditional, if

isFCM = ‘Y’

First name of the 

natural person 

contact for the U.S. 

Futures 

Commission 

Merchant

cftcBatch/cftcForm102/relate

dEntity/contact@firstName

170.17U.S. Futures 

Commission 

Merchant 

Contact 

Middle Name

Question 11 Conditional. 

Required if 

information 

available AND 

isFCM = ‘Y’

Middle name of 

the natural person 

contact for the U.S. 

Futures 

Commission 

Merchant

cftcBatch/cftcForm102/relate

dEntity/contact@middleName

171.17U.S. Futures 

Commission 

Merchant 

Contact Suffix

Question 11 Conditional. 

Required if 

information 

available AND 

Suffix of the 

natural person 

contact for the U.S. 

Futures 

cftcBatch/cftcForm102/relate

dEntity/contact@nameSuffix
May 25, 2016 Page 90 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isFCM = ‘Y’ Commission 

Merchant

172.17U.S. Futures 

Commission 

Merchant 

Contact Job 

Title

Question 11 Conditional, if

isFCM = ‘Y’

Job title of the 

contact person at 

or related to the 

U.S. Futures 

Commission 

Merchant entity

cftcBatch/cftcForm102/relate

dEntity/contact@titleOrPositi

on

173.17U.S. Futures 

Commission 

Merchant 

Contact Phone 

Number

Question 11 Conditional, if

isFCM = ‘Y’

Phone number of 

the contact person 

at or related to the 

U.S. Futures 

Commission 

Merchant entity

cftcBatch/cftcForm102/relate

dEntity/contact@telephone

174.17U.S. Futures 

Commission 

Merchant 

Contact Email 

Address

Question 11 Conditional, if

isFCM = ‘Y’

Email address of 

the contact person 

at or related to the 

U.S. Futures 

Commission 

Merchant entity 

cftcBatch/cftcForm102/relate

dEntity/contact@email

175.17Reporting 

Firm 

Authorization 

Indicator

Signature/Authenti

cation

Yes Indicates if the 

submitter is duly 

authorized by the 

reporting firm to 

provide the 

information and 

representations 

Y = authorized

N = not authorized

cftcBatch/cftcForm102/contac

t@isAuthorizedRepresentative
May 25, 2016 Page 91 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

submitted on this 

Form 102, and that 

information and 

representations 

are true and 

correct

176.17Authorized 

Representativ

e Last Name

Signature/Authenti

cation

Yes Surname of the 

authorized 

representative

cftcBatch/cftcForm102/contac

t@lastName

177.18Authorized 

Representativ

e First Name

Signature/Authenti

cation

Yes Given or first in 

order name of the 

authorized 

representative

cftcBatch/cftcForm102/contac

t@firstName

178.18Authorized 

Representativ

e Middle 

Name

Signature/Authenti

cation

Yes Middle name of 

the authorized 

representative

cftcBatch/cftcForm102/contac

t@middleName

179.18Authorized 

Representativ

e Name Suffix

Signature/Authenti

cation

Yes Generation or 

name suffix of the 

authorized 

representative

cftcBatch/cftcForm102/contac

t@nameSuffix

180.18Authorized 

Representativ

e Position

Signature/Authenti

cation

Yes Job position of the 

authorized 

representative

cftcBatch/cftcForm102/contac

t@titleOrPosition

181.18Authorized 

Representativ

e Submitted 

on behalf of

Signature/Authenti

cation

Yes Reporting Firm 

Name 102 was 

submitted on 

behalf of

cftcBatch/cftcForm102@onBe

halfOf
May 25, 2016 Page 92 of 291

Data 

Element

Form 102A 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

182.18Date of 

Submission

Signature/Authenti

cation

Yes Date [indicated by 

the authorized 

representative] 

that the form was 

submitted to CFTC

cftcBatch/cftcForm102@subm

itDate

Data Dictionary for Form 102B – Identifying and reporting a volume threshold account15

Note with regard to give-up reporting and as-of reporting on Form 102B:16

 

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

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

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

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

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

26789a.pdf

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

of the date the trade was originally executed, or as of the date on which the trade is actually received by the reporting party.
May 25, 2016 Page 93 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

1. New/Modified 

Indicator 

Question 1 Yes Indicates whether 

the volume 

threshold account 

(102B) is:

• Resubmitted 

or 

modified 

Informatio

n for a 

previously 

reported 

volume 

threshold 

account

• Resubmitted 

or 

modified 

Informatio

n for a 

previously 

reported 

volume 

threshold 

account

N = New

M = Modified

cftcBatch/cftcForm102@infor

mationType
May 25, 2016 Page 94 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

2. Volume 

Threshold 

Trading 

Account 

Number

Question 2 Yes For each Volume 

Threshold 

reported by an 

entity, provide the 

trading account 

number

cftcBatch/cftcForm102/related

Account@accountNumber

3. Short Code Question 2 Conditional. 

Required if

accountCategory=‘

VT’

For the Volume 

Threshold account

reported by an 

entity, provide the 

related short code

cftcBatch/cftcForm102/related

AcctInfo@accountShortCode

4. Reporting 

Market

Question 2 Conditional. 

Required if

accountCategory=‘

VT’

Identify the 

reporting market 

at which each 

trading account 

number appears17

ISO Market Identifier 

Code (MIC) located 

at: 

http://www.iso1502

2.org/MIC/homepag

eMIC.htm18

cftcBatch/cftcForm102/related

AcctInfo@marketIdentifier

 

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

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

market.

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

by the CFTC. 
May 25, 2016 Page 95 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

5. Associated 

Special 

Account 

Indicator

Question 3 No If the volume 

threshold account 

has been 

previously 

identified as a 

trading account 

that comprises a 

special account(s) 

reported by a 

clearing member 

in question 9 in 

section 102A

Y = Yes

N = No

cftcBatch/cftcForm102/related

Account@isSpecialAccount

6. Associated 

Special 

Account 

Number

Question 3 No If the volume 

threshold account 

has been 

previously 

identified as a 

trading account 

that comprises a 

special account(s) 

reported by a 

clearing member 

in question 9 in 

section 102A

cftcBatch/cftcForm102/related

Account@accountNumber

VOLUME THRESHOLD ACCOUNT OWNERSHIP AND CONTROL INFORMATION
May 25, 2016 Page 96 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

OMNIBUS ACCOUNT INFORMATION

7. Volume 

Threshold 

Account 

Omnibus 

Account 

Indicator

Question 4 Conditional. 

Required if

accountCategory=‘

VT’

Is the Volume 

Threshold Account 

an omnibus 

account, or used 

to execute trades 

for an omnibus 

account

Y = Yes

N = No

cftcBatch/cftcForm102@isOm

nibus

8. House or 

Customer 

Indicator

Question 4 Conditional. 

Required if

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

If the reported 

Volume Threshold 

Account is being 

reported as an 

Omnibus Account 

indicate whether 

the Volume 

Threshold Account 

Omnibus Account 

is a house or 

customer account 

of the reporting 

firm

H = House

C = Customer

cftcBatch/cftcForm102@accou

ntClass

9. Volume 

Threshold 

Account 

Omnibus 

Account 

Question 4 Conditional. 

Required if

accountCategory=‘

VT’

AND isOmnibus 

Indicates reporting 

Volume Threshold 

Account Omnibus 

Account originator

Y = Yes

N = No

cftcBatch/cftcForm102/related

Entity@isOriginator
May 25, 2016 Page 97 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Originator 

Indicator

=‘Y’

THEN isOriginator 

= ‘Y’

10. Volume 

Threshold 

Account 

Omnibus 

Account 

Optional 

Fields or 

Supplemental 

Fields 

Reported to 

LEI Provider

Question 4 Conditional. 

Required if 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

Indicates that one 

or more “Optional 

Fields” or 

“Supplemental 

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with 

the LEI provided in 

this submission

Y = Yes

N = No

cftcBatch/cftcForm102/related

Entity@OptionalOrSuppFieldsS

eparatelyReported

11. Volume 

Threshold 

Account 

Omnibus 

Account Entity 

Type

Question 4 Yes, 

entityType=‘LE’

LE=Legal Entity cftcBatch/cftcForm102/related

Entity@entityType

12. Volume 

Threshold 

Account 

Omnibus 

Question 4 Conditional. 

Required if 

accountCategory=‘

VT’

Legal or registered 

name of the 

reportable 

account Originator 

cftcBatch/cftcForm102/related

Entity@legalEntityName
May 25, 2016 Page 98 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Account 

Originator 

Name

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

13. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Street 

Address

Question 4 Conditional. 

Required if 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Street address of 

the reportable 

account Originator

cftcBatch/cftcForm102/related

Entity@street

14. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Suite

Question 4 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Suite of the 

reportable 

account Originator

cftcBatch/cftcForm102/related

Entity@suite
May 25, 2016 Page 99 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

15. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator City

Question 4 Conditional. 

Required if 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

City of the 

reportable 

account Originator

cftcBatch/cftcForm102/related

Entity@city

16. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

State

Question 4 Conditional. 

Required if 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/related

Entity@state

17. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Country

Question 4 Conditional. 

Required if 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppFie

ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm102/related

Entity@country
May 25, 2016 Page 100 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ldsSeparatelyRepo

rted = ‘N’

18. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Zip/Postal 

Code

Question 4 Conditional. 

Required if 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Zip/Postal code of 

the reportable 

account Originator

cftcBatch/cftcForm102/related

Entity@postalCode

19. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Phone 

Number

Question 4 Conditional. 

Required if 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’ AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Phone Number of 

the reportable 

account Originator

cftcBatch/cftcForm102/related

Entity@telephone

20. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Question 4 Conditional. 

Required if 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

Surname of the 

natural person 

contact for the 

Originator 

cftcBatch/cftcForm102/related

Entity/contact@lastName
May 25, 2016 Page 101 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Contact Last 

Name

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

21. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Contact First 

Name

Question 4 Conditional. 

Required if 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

First name of the 

natural person 

contact for the 

Originator

cftcBatch/cftcForm102/related

Entity/contact@firstName

22. Volume 

Threshold 

Account 

Omnibus 

Account 

Contact 

Middle Name

Question 4 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’ 

Middle name of 

the natural person 

contact for the 

Originator

cftcBatch/cftcForm102/related

Entity/contact@middleName
May 25, 2016 Page 102 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

23. Volume 

Threshold 

Account 

Omnibus 

Account 

Contact Suffix

Question 4 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Suffix of the 

natural person 

contact for the 

Originator

cftcBatch/cftcForm102/related

Entity/contact@nameSuffix

24. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Contact Job 

Title

Question 4 Conditional. 

Required if 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

Job title of the 

contact person for 

the Originator 

entity

cftcBatch/cftcForm102/related

Entity/contact@titleOrPosition
May 25, 2016 Page 103 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ldsSeparatelyRepo

rted = ‘N’

25. Contact 

Relationship 

to Volume 

Threshold 

Account 

Omnibus 

Account 

Originator

Question 4 Conditional. 

Required if 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Contact 

relationship to the 

Originator entity

cftcBatch/cftcForm102/related

Entity/contact@relationship

26. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Contact 

Phone 

Number

Question 4 Conditional. 

Required if 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Phone number of 

the contact person 

for the Originator 

entity 

cftcBatch/cftcForm102/related

Entity/contact@telephone
May 25, 2016 Page 104 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

27. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Contact Email 

Address

Question 4 Conditional. 

Required if 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Email address of 

the contact person 

for the Originator 

entity 

cftcBatch/cftcForm102/related

Entity/contact@email

28. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Website

Question 4 Conditional. 

Required if 

information 

available AND if 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

URL of the 

Originator’s 

website

cftcBatch/cftcForm102/related

Entity@website

29. Volume 

Threshold 

Question 4 Conditional. 

Required if 

The identification 

number given to 

cftcBatch/cftcForm102/related

Entity@NFAIdentifier
May 25, 2016 Page 105 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Account 

Omnibus 

Account 

Originator 

NFA ID

information 

available AND if 

accountCategory=‘

VT’

AND isOmnibus 

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

the Originator 

entity by the 

National Futures 

Association

30. Volume 

Threshold 

Account 

Omnibus 

Account 

Originator 

Legal Entity 

Identifier (LEI)

Question 4 Conditional. 

Required if

accountCategory=‘

VT’ AND 

isOmnibus =‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted =‘Y’

The legal entity 

identifier (LEI) 

assigned to the

Originator entity 

by the LEI issuer

cftcBatch/cftcForm102/related

Entity@legalEntityIdentifier

VOLUME THRESHOLD ACCOUNT OWNER(S)

31. Volume 

Threshold 

Account 

Owner 

Indicator

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

Indicates 

reportable Volume 

Threshold account 

owner

Y = Yes

N = No

cftcBatch/cftcForm102/related

Entity@isOwner
May 25, 2016 Page 106 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

THEN isOwner=‘Y’

32. Foreign 

Privacy Law 

Exception 

Indicator

Question 5 Conditional. 

Required if 

isOwner=’Y’

Identifies if 

reported volume 

threshold account 

owner data is 

covered by foreign 

privacy-protection 

laws

Y = Yes

N = No

cftcBatch/cftcForm102/related

Entity@foreignPrivacyExceptio

n

32.33 Volume 

Threshold 

Account 

Owner Type 

Indicator

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

Indicates whether 

the Volume 

Threshold account 

owner is a legal 

entity or natural 

person

LE = Legal Entity

NP = Natural Person

cftcBatch/cftcForm102/related

Entity@entityType

33.34 Volume 

Threshold 

Account 

Owner 

Optional 

Fields or 

Supplemental 

Fields 

Reported to 

LEI Provider

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

Indicates that one 

or more “Optional 

Fields” or 

“Supplemental 

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

cftcBatch/cftcForm102/related

Entity@OptionalOrSuppFieldsS

eparatelyReported
May 25, 2016 Page 107 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

provider) and are 

associated with 

the LEI provided in 

this submission

IF VOLUME THRESHOLD ACCOUNT OWNER IS A LEGAL ENTITY

34.35 Volume 

Threshold

Account 

Owner Legal 

Entity Name

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption=’N’

Legal or registered 

name of the 

reportable 

account owner

cftcBatch/cftcForm102/related

Entity@legalEntityName

IF VOLUME THRESHOLD ACCOUNT OWNER IS A NATURAL PERSON

35.36 Volume 

Threshold

Account 

Owner Last 

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

Surname of the 

natural person 

reportable 

account owner 

cftcBatch/cftcForm102/related

Entity@lastName
May 25, 2016 Page 108 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Name AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption=’N’

36.37 Volume 

Threshold

Account 

Owner First 

Name

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption=’N’

Given or first in 

order name of the 

natural person 

reportable 

account owner 

cftcBatch/cftcForm102/related

Entity@firstName

37.38 Volume 

Threshold 

Question 5 Conditional. 

Required if 

Middle name of 

the natural person 

cftcBatch/cftcForm102/related

Entity@middleName
May 25, 2016 Page 109 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Account 

Owner Middle 

Name

information 

available AND 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption=’N’

reportable 

account owner

38.39 Volume 

Threshold 

Account 

Owner Suffix

Question 5 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

Suffix of the 

natural person 

reportable 

account owner

cftcBatch/cftcForm102/related

Entity@nameSuffix
May 25, 2016 Page 110 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption=’N’

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

39.40 Volume 

Threshold

Account 

Owner Street 

Address

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

Street address of 

the reportable 

account owner

cftcBatch/cftcForm102/related

Entity@street

40.41 Volume 

Threshold 

Account 

Owner Suite

Question 5 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

Suite of the 

reportable 

account owner

cftcBatch/cftcForm102/related

Entity@suite
May 25, 2016 Page 111 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

41.42 Volume 

Threshold

Account 

Owner City

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

City of the 

reportable 

account owner

cftcBatch/cftcForm102/related

Entity@city
May 25, 2016 Page 112 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ption=’N’

42.43 Volume 

Threshold

Account 

Owner State

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/related

Entity@state

43.44 Volume 

Threshold

Account 

Owner 

Country

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm102/related

Entity@country
May 25, 2016 Page 113 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

44.45 Volume 

Threshold

Account 

Owner 

Zip/Postal 

Code

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

Zip/Postal code of 

the reportable 

account owner

cftcBatch/cftcForm102/related

Entity@postalCode

45.46 Volume 

Threshold

Account 

Owner Phone 

Number

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’ 

AND 

OptionalOrSuppFie

Phone Number of 

the reportable 

account owner

cftcBatch/cftcForm102/related

Entity@telephone
May 25, 2016 Page 114 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ldsSeparatelyRepo

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

IF VOLUME THRESHOLD ACCOUNT OWNER IS A NATURAL PERSON

46.47 Volume 

Threshold

Account 

Owner Email 

Address

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘NP’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

Email address of 

the reportable 

account owner

cftcBatch/cftcForm102/related

Entity@email
May 25, 2016 Page 115 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

IF VOLUME THRESHOLD ACCOUNT OWNER IS A LEGAL ENTITY

47.48 Volume 

Threshold

Account 

Owner 

Contact Last 

Name

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

Surname of the 

natural person 

contact for the 

owner

cftcBatch/cftcForm102/related

Entity/contact@lastName

48.49 Volume 

Threshold

Account 

Owner 

Contact First 

Name

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

First name of the 

natural person 

contact for the 

owner 

cftcBatch/cftcForm102/related

Entity/contact@firstName
May 25, 2016 Page 116 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

49.50 Volume 

Threshold 

Account 

Owner 

Contact 

Middle Name

Question 5 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

Middle name of 

the natural person 

contact for the 

owner

cftcBatch/cftcForm102/related

Entity/contact@middleName
May 25, 2016 Page 117 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

foreignPrivacyExce

ption=’N’

50.51 Volume 

Threshold 

Account 

Owner 

Contact Suffix

Question 5 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

Suffix of the 

natural person 

contact for the 

owner

cftcBatch/cftcForm102/related

Entity/contact@nameSuffix

51.52 Volume 

Threshold

Account 

Owner 

Contact Job 

Title

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

Job title of the 

contact person at 

for the ownership 

entity

cftcBatch/cftcForm102/related

Entity/contact@titleOrPosition
May 25, 2016 Page 118 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

52.53 Contact 

Relationship 

to Volume 

Threshold

Account 

Owner

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

Contact 

relationship to the 

ownership entity

cftcBatch/cftcForm102/related

Entity/contact@relationship
May 25, 2016 Page 119 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

foreignPrivacyExce

ption=’N’

53.54 Volume 

Threshold

Account 

Owner 

Contact 

Phone 

Number

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

Phone number of 

the contact person 

for the ownership 

entity 

cftcBatch/cftcForm102/related

Entity/contact@telephone

54.55 Volume 

Threshold

Account 

Owner 

Contact Email 

Address

Question 5 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

Email address of 

the contact person 

for the ownership 

entity 

cftcBatch/cftcForm102/related

Entity/contact@email
May 25, 2016 Page 120 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

55.56 Volume 

Threshold

Account 

Owner 

Website

Question 5 Conditional. 

Required if 

information 

available AND, if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

URL of the owner’s 

website

cftcBatch/cftcForm102/related

Entity@website
May 25, 2016 Page 121 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

56.57 Volume 

Threshold

Account 

Owner NFA ID

Question 5 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

The identification 

number given to 

the ownership 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/related

Entity@NFAIdentifier

57.58 Volume 

Threshold

Account 

Owner Legal 

Entity 

Identifier (LEI)

Question 5 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’

AND isOwner=‘Y’ 

AND 

The legal entity 

identifier (LEI) 

assigned to the 

ownership entity 

by the LEI issuer

cftcBatch/cftcForm102/related

Entity@legalEntityIdentifier
May 25, 2016 Page 122 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

OptionalOrSuppFie

ldsSeparatelyRepo

rted =‘Y’ AND 

FollowOnInformati

onToCome=‘N’

AND 

foreignPrivacyExce

ption=’N’

VOLUME THRESHOLD ACCOUNT CONTROLLER(S)

58.59 Volume 

Threshold 

Account 

Controller 

Indicator

Question 6 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

THEN 

isController=‘Y’

Indicates reporting 

Volume Threshold 

account Controller

Y = Yes

N = No

cftcBatch/cftcForm102/related

Entity@isController

60. Foreign 

Privacy Law 

Exception 

Indicator

Question 6 Conditional. 

Required if 

isController=’Y’

Identifies if 

reported volume 

threshold account 

controller data is 

covered by foreign 

privacy-protection 

laws

Y = Yes

N = No

cftcBatch/cftcForm102/related

Entity@foreignPrivacyExceptio

n

59.61 Volume 

Threshold 

Question 6 Conditional. 

Required if 

NP = Natural Person cftcBatch/cftcForm102/related

Entity@entityType
May 25, 2016 Page 123 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Account 

Controller 

Entity Type

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

THEN 

entityType=‘NP’

62. Volume 

Threshold 

Account 

Controller 

Client 

Reporting 

Issue Indicator

Question 6 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

0 = All volume 

threshold account 

controller 

information is 

availiable and 

reported on form

1 = Client did not 

provide

2 = Data supplied by 

client does not 

appear to meet the 

CFTC definition of 

trading account 

controller

cftcBatch/cftcForm102/related

Entity@clientReportingIssue

60.63 Volume 

Threshold

Account 

Controller 

Natural 

Person Last 

Question 6 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

Surname of the 

natural person 

reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@lastName
May 25, 2016 Page 124 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Name AND 

isController=‘Y’

AND

clientReportingIss

ue=’0’ AND 

foreignPrivacyExce

ption=’N’

61.64 Volume 

Threshold

Account 

Controller 

Natural 

Person First 

Name

Question 6 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND

clientReportingIss

ue=’0’ AND 

foreignPrivacyExce

ption=’N’

Given or first in 

order name of the 

natural person 

reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@firstName

62.65 Volume 

Threshold

Account 

Controller 

Natural 

Person Middle 

Name

Question 6 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

Middle name of 

the natural person 

reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@middleName
May 25, 2016 Page 125 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isController=‘Y’

AND

clientReportingIss

ue=’0’ AND 

foreignPrivacyExce

ption=’N’

63.66 Volume 

Threshold

Account 

Controller 

Natural 

Person Suffix

Question 6 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND

clientReportingIss

ue=’0’ AND 

foreignPrivacyExce

ption=’N’

Suffix of the 

natural person 

reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@nameSuffix

64.67 Volume 

Threshold

Account 

Controller 

Street 

Address

Question 6 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

Street address of 

the reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@street
May 25, 2016 Page 126 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

AND

clientReportingIss

ue=’0’ AND 

foreignPrivacyExce

ption=’N’

65.68 Volume 

Threshold

Account 

Controller 

Suite

Question 6 Conditional (not 

required), if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

AND

clientReportingIss

ue=’0’ AND 

foreignPrivacyExce

ption=’N’

Suite of the 

reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@suite

66.69 Volume 

Threshold

Question 6 Conditional. 

Required if 

City of the 

reportable 

cftcBatch/cftcForm102/related

Entity@city
May 25, 2016 Page 127 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Account 

Controller City

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

AND

clientReportingIss

ue=’0’ AND 

foreignPrivacyExce

ption=’N’

account Controller

67.70 Volume 

Threshold

Account 

Controller 

State

Question 6 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

AND

clientReportingIss

ue=’0’ AND 

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/related

Entity@state
May 25, 2016 Page 128 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

foreignPrivacyExce

ption=’N’

68.71 Volume 

Threshold

Account 

Controller 

Country

Question 6 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

AND

clientReportingIss

ue=’0’

ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm102/related

Entity@country

69.72 Volume 

Threshold

Account 

Controller 

Zip/Postal 

Code

Question 6 Conditional. 

Required if 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

AND

Zip/Postal code of 

the reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@postalCode
May 25, 2016 Page 129 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

clientReportingIss

ue=’0’ AND 

foreignPrivacyExce

ption=’N’

70.73 Volume 

Threshold

Account 

Controller 

Phone 

Number

Question 6 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

Phone Number of 

the reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@telephone

71.74 Volume 

Threshold 

Account 

Controller 

Name of 

Employer

Question 6 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

cftcBatch/cftcForm102/related

Entity@employerName
May 25, 2016 Page 130 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

FollowOnInformati

onToCome=‘N’

72.75 Volume 

Threshold 

Account 

Controller 

Employer NFA 

ID

Question 6 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

cftcBatch/cftcForm102/related

Entity@employerNFAIdentifier

73.76 Volume 

Threshold 

Account 

Controller 

Employer 

Legal Entity 

Identifier

Question 6 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

cftcBatch/cftcForm102/related

Entity@employerLEI
May 25, 2016 Page 131 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

74.77 Volume 

Threshold

Account 

Controller Job 

Title

Question 6 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

Job title of the 

contact person 

forthe Controller 

entity

cftcBatch/cftcForm102/related

Entity@titleOrPosition

75.78 Relationship 

to Volume 

Threshold

Account 

Owner

Question 6 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

Contact 

relationship to 

trading account 

owner

cftcBatch/cftcForm102/related

Entity@relationship

76.79 Volume 

Threshold

Question 6 Conditional. 

Required if 

Email address of 

the reportable 

cftcBatch/cftcForm102/related

Entity@email
May 25, 2016 Page 132 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Account 

Controller 

Email Address

information 

available AND 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

account Controller

77.80 Volume 

Threshold

Account 

Controller 

NFA ID

Question 6 Conditional. 

Required if 

information 

available AND 

accountCategory=‘

VT’

AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

AND 

FollowOnInformati

onToCome=‘N’

The identification 

number given to 

the Controller 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/related

Entity@NFAIdentifier

78.81 Reporting 

Firm 

Authorization 

Indicator

Signature/Authenti

cation

Yes Indicates if the 

submitter is duly 

authorized by the 

reporting firm to 

Y = authorized

N = not authorized

cftcBatch/cftcForm102/contac

t@isAuthorizedRepresentative
May 25, 2016 Page 133 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

provide the 

information and 

representations 

submitted on this 

Form 102, and 

that information 

and 

representations 

are true and 

correct

79.82 Authorized 

Representativ

e Last Name

Signature/Authenti

cation

Yes Surname of the 

authorized 

representative

cftcBatch/cftcForm102/contac

t@lastName

80.83 Authorized 

Representativ

e First Name

Signature/Authenti

cation

Yes Given or first in 

order name of the 

authorized 

representative

cftcBatch/cftcForm102/contac

t@firstName

81.84 Authorized 

Representativ

e Middle 

Name

Signature/Authenti

cation

Yes Middle name of 

the authorized

representative

cftcBatch/cftcForm102/contac

t@middleName

82.85 Authorized 

Representativ

e Name Suffix

Signature/Authenti

cation

Yes Generation or 

name suffix of the 

authorized 

representative

cftcBatch/cftcForm102/contac

t@nameSuffix

83.86 Authorized 

Representativ

e Position

Signature/Authenti

cation

Yes Job position of the 

authorized 

representative

cftcBatch/cftcForm102/contac

t@titleOrPosition
May 25, 2016 Page 134 of 291

Data 

Element

Form 102B 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

84.87 Authorized 

Representativ

e Submitted 

on behalf of

Signature/Authenti

cation

Yes Reporting Firm 

Name 102 was 

submitted on 

behalf of

cftcBatch/cftcForm102@onBe

halfOf

85.88 Date of 

Submission

Signature/Authenti

cation

Yes Date [indicated by 

the authorized 

representative] 

that the form was 

submitted to CFTC

cftcBatch/cftcForm102@submi

tDate
May 25, 2016 Page 135 of 291

Data Dictionary for Form 102S – Identifying and reporting a consolidated account19

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

1. New/Modified 

Indicator 

Question 1 Yes Indicates whether 

the consolidated 

account (102S) is:

• Counterpa

rty or 

customer 

reported 

for the 

first time 

• Resubmitted 

or 

modified 

N = New

M = Modified

cftcBatch/cftcForm102@infor

mationType

 

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

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

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

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

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

26789a.pdf
May 25, 2016 Page 136 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Informatio

n for a 

previously 

reported 

counterpa

rty or 

customer

2. 102S 

Counterparty 

Identifier

Question 2 Yes A unique identifier 

for each reporting 

entity or 

counterparty/cust

omer as assigned 

by the reporting 

entity

cftcBatch/cftcForm102@accou

ntNumber

3. Special 

Account 

Indicator

Question 2 Yes If the reporting 

entity currently 

identifies a 

counterparty via 

Section 102A of a 

Form 102, the 

identifier used on 

Section 102A of 

the Form 102 may 

also be used for 

the 102S 

identifier, as long 

as the same legal 

entity is 

Y = Yes

N = No

cftcBatch/cftcForm102@isSpe

cialAccount
May 25, 2016 Page 137 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

referenced. 

Indicates if the 

same identifier is 

being so used. 

4. House or 

Customer 

Indicator

Question 3i YesNo Consolidated 

account type 

H = House

C = Customer

cftcBatch/cftcForm102@accou

ntClass

5. Consolidated 

Account 

Omnibus 

Account 

Indicator

Question 3ii Yes Is the reportable 

consolidated 

account an 

omnibus account, 

or used to execute 

trades for an 

omnibus account

Y = Yes

N = No

cftcBatch/cftcForm102@isOm

nibus

6. House or 

Customer 

Indicator

Question 3ii Conditional. 

Required if 

isOmnibus =‘Y’

If the reported 

Consolidated 

Account is being 

reported as an 

Omnibus Account 

indicate whether 

the Volume 

Threshold Account 

Omnibus Account 

is a house or 

customer account 

of the reporting 

firm

H = House

C = Customer

cftcBatch/cftcForm102@accou

ntClass
May 25, 2016 Page 138 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

CONSOLIDATED ACCOUNT OWNERSHIP AND CONTROL INFORMATION

OMNIBUS ACCOUNT INFORMATION

7. Consolidated 

Account 

Omnibus 

Account 

Originator 

Indicator

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

THEN isOriginator 

= ‘Y’

Indicates reporting 

Consolidated 

Account Omnibus 

Account originator

Y = Yes

N = No

cftcBatch/cftcForm102/related

Entity@isOriginator

8. Consolidated 

Account 

Omnibus 

Account 

Optional 

Fields or 

Supplemental 

Fields 

Reported to 

LEI Provider

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

Indicates that one 

or more “Optional 

Fields” or 

“Supplemental 

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with 

the LEI provided in 

this submission

Y = Yes

N = No

cftcBatch/cftcForm102/related

Entity@OptionalOrSuppFieldsS

eparatelyReported

9. Consolidated 

Account 

Question 3ii Yes, 

entityType=‘LE’

LE=Legal Entity cftcBatch/cftcForm102/related

Entity@entityType
May 25, 2016 Page 139 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Omnibus 

Account Entity 

Type

10. Consolidated 

Account 

Omnibus 

Account 

Originator 

Name

Question 3ii Conditional. 

Required if 

isOmnibus =‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Name of the

reportable 

account Originator 

cftcBatch/cftcForm102/related

Entity@legalEntityName

11. Consolidated 

Account 

Omnibus 

Account 

Originator 

Street 

Address

Question 3ii Conditional. 

Required if 

isOmnibus =‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Street address of 

the reportable 

account Originator

cftcBatch/cftcForm102/related

Entity@street

12. Consolidated 

Account 

Omnibus 

Account 

Originator 

Suite

Question 3ii Conditional. 

Required if

information 

available 

ANDisOmnibus 

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Suite of the 

reportable 

account Originator

cftcBatch/cftcForm102/related

Entity@suite
May 25, 2016 Page 140 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

13. Consolidated 

Account 

Omnibus 

Account 

Originator City

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

City of the 

reportable 

account Originator

cftcBatch/cftcForm102/related

Entity@city

14. Consolidated 

Account 

Omnibus 

Account 

Originator 

State

Question 3ii Conditional.

Required if 

isOmnibus =‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/related

Entity@state

15. Consolidated 

Account 

Omnibus 

Account 

Originator 

Country

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm102/related

Entity@country

16. Consolidated 

Account 

Omnibus 

Account 

Originator 

Zip/Postal 

Code

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Zip/Postal code of 

the reportable 

account Originator

cftcBatch/cftcForm102/related

Entity@postalCode
May 25, 2016 Page 141 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

17. Consolidated 

Account 

Omnibus 

Account 

Originator 

Phone 

Number

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Phone Number of 

the reportable 

account Originator

cftcBatch/cftcForm102/related

Entity@telephone

18. Consolidated 

Account 

Omnibus 

Account 

Originator 

Contact Last 

Name

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Surname of the 

natural person 

contact for the 

Originator 

cftcBatch/cftcForm102/related

Entity/contact@lastName

19. Consolidated 

Account 

Omnibus 

Account 

Originator 

Contact First 

Name

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

First name of the 

natural person 

contact for the 

Originator

cftcBatch/cftcForm102/related

Entity/contact@firstName

20. Consolidated 

Account 

Omnibus 

Question 3ii Conditional. 

Required if 

information 

Middle name of 

the natural person 

contact for the 

cftcBatch/cftcForm102/related

Entity/contact@middleName
May 25, 2016 Page 142 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Account 

Contact 

Middle Name

available 

ANDisOmnibus 

=‘Y’

AND

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Originator

21. Consolidated 

Account 

Omnibus 

Account 

Contact Suffix

Question 3ii Conditional. 

Required if 

information 

available AND

isOmnibus =‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Suffix of the 

natural person 

contact for the 

Originator

cftcBatch/cftcForm102/related

Entity/contact@nameSuffix

22. Consolidated 

Account 

Omnibus 

Account 

Originator 

Contact Job 

Title

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

Job title of the 

contact person for

the Originator 

entity

cftcBatch/cftcForm102/related

Entity/contact@titleOrPosition
May 25, 2016 Page 143 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

rted = ‘N’

23. Contact 

Relationship 

to 

Consolidated 

Account 

Omnibus 

Account 

Originator

Question 3ii Conditional, 

ifConditional. 

Required if

isOmnibus =‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Contact 

relationship to the

Originator entity

cftcBatch/cftcForm102/related

Entity/contact@relationship

24. Consolidated 

Account 

Omnibus 

Account 

Originator 

Contact 

Phone 

Number

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

Phone number of 

the contact person 

for the Originator 

entity 

cftcBatch/cftcForm102/related

Entity/contact@telephone

25. Consolidated 

Account 

Omnibus 

Account 

Originator 

Contact Email 

Question 3ii Conditional. 

Required if

isOmnibus =‘Y’

AND 

entityType=‘LE’

AND 

Email address of 

the contact person 

for the Originator 

entity 

cftcBatch/cftcForm102/related

Entity/contact@email
May 25, 2016 Page 144 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Address OptionalOrSuppFie

ldsSeparatelyRepo

rted = ‘N’

26. Consolidated 

Account 

Omnibus 

Account 

Originator 

Website

Question 3ii Conditional. 

Required if 

information 

available AND 

isOmnibus =‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

URL of the 

Originator’s 

website

cftcBatch/cftcForm102/related

Entity@website

27. Consolidated 

Account 

Omnibus 

Account 

Originator 

NFA ID

Question 3ii Conditional. 

Required if 

information 

available AND 

isOmnibus =‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

The identification 

number given to 

the Originator 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/related

Entity@NFAIdentifier

28. Consolidated 

Account 

Omnibus 

Account 

Originator 

Question 3ii Conditional. 

Required if 

information 

available AND

isOmnibus=‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

Originator entity 

by the LEI issuer

cftcBatch/cftcForm102/related

Entity@legalEntityIdentifier
May 25, 2016 Page 145 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Legal Entity 

Identifier (LEI)

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘Y’

CONSOLIDATED ACCOUNT COUNTERPARTY

29. Consolidated 

Account 

Counterparty 

Indicator

Yes, 

isCounterparty=’Y’

Indicates 

reportable 

Consolidated 

account 

counterparty

Y = Yes

N = No

cftcBatch/cftcForm102/related

Entity@isCounterparty

30. Foreign 

Privacy Law 

Exception 

Indicator

Conditional. 

Required if 

isCounterparty

=‘Y’

Identifies if 

reported 

counterparty data 

is covered by 

foreign privacyprotection laws

Y = Yes

N = No

cftcBatch/cftcForm102/related

Entity@foreignPrivacyExceptio

n

31. Consolidated 

Account 

Counterparty

Type Indicator

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’

Indicates whether 

the Consolidated 

account 

counterparty is a 

legal entity or 

natural person

LE = Legal Entity

NP = Natural Person

cftcBatch/cftcForm102/related

Entity@entityType

32. Consolidated 

Account 

Counterparty

Optional 

Conditional. 

Required if 

isOmnibus=‘N’

AND 

Indicates that one 

or more “Optional 

Fields” or 

“Supplemental 

Y = Yes

N = No

cftcBatch/cftcForm102/related

Entity@OptionalOrSuppFieldsS

eparatelyReported
May 25, 2016 Page 146 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Fields or 

Supplemental 

Fields 

Reported to 

LEI Provider

isCounterparty=‘Y’ Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with 

the LEI provided in 

this submission

IF CONSOLIDATED ACCOUNT COUNTERPARTY IS A LEGAL ENTITY

33. Consolidated

Account 

Counterparty

Legal Entity 

Name

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

Legal or registered 

name of the 

reportable 

account 

counterparty

cftcBatch/cftcForm102/related

Entity@legalEntityName
May 25, 2016 Page 147 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

IF CONSOLIDATED ACCOUNT COUNTERPARTY IS A NATURAL PERSON

34. Consolidated

Account 

Counterparty

Last Name

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

Surname of the 

natural person 

reportable 

account 

counterparty

cftcBatch/cftcForm102/related

Entity@lastName

35. Consolidated

Account 

Counterparty

First Name

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

Given or first in 

order name of the 

natural person 

reportable 

account 

counterparty

cftcBatch/cftcForm102/related

Entity@firstName
May 25, 2016 Page 148 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

36. Consolidated 

Account 

Counterparty

Middle Name

Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND 

isCounterparty=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

Middle name of 

the natural person 

reportable 

account 

counterparty

cftcBatch/cftcForm102/related

Entity@middleName

37. Consolidated 

Account 

Counterparty

Suffix

Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND 

isCounterparty=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

Suffix of the 

natural person 

reportable 

account 

counterparty

cftcBatch/cftcForm102/related

Entity@nameSuffix
May 25, 2016 Page 149 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

foreignPrivacyExce

ption = ‘N’

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

38. Consolidated

Account 

Counterparty

Street 

Address

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

Street address of 

the reportable 

account 

counterparty

cftcBatch/cftcForm102/related

Entity@street

39. Consolidated 

Account 

Counterparty

Suite

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

Suite of the 

reportable 

account 

counterparty

cftcBatch/cftcForm102/related

Entity@suite
May 25, 2016 Page 150 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ption = ‘N’

40. Consolidated

Account 

Counterparty

City

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

City of the 

reportable 

account 

counterparty

cftcBatch/cftcForm102/related

Entity@city

41. Consolidated

Account 

Counterparty

State

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/related

Entity@state
May 25, 2016 Page 151 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

42. Consolidated

Account 

Counterparty

Country

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@country

43. Consolidated

Account 

Counterparty

Zip/Postal 

Code

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

Zip/Postal code of 

the reportable 

account 

counterparty

cftcBatch/cftcForm102/related

Entity@postalCode

44. Consolidated

Account 

Counterparty

Phone 

Number

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’ AND 

Phone Number of 

the reportable 

account 

counterparty

cftcBatch/cftcForm102/related

Entity@telephone
May 25, 2016 Page 152 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

IF CONSOLIDATED ACCOUNT COUNTERPARTY IS A NATURAL PERSON

45. Consolidated

Account 

Counterparty

Email Address

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty=‘Y’

AND 

entityType=‘NP’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

Email address of 

the reportable 

account 

counterparty

cftcBatch/cftcForm102/related

Entity@email

IF CONSOLIDATED ACCOUNT COUNTERPARTY IS A LEGAL ENTITY

46. Consolidated

Account 

Counterparty

Contact Last 

Conditional. 

Required if 

isOmnibus=‘N’

AND 

Surname of the 

contact person for 

the counterparty

cftcBatch/cftcForm102/related

Entity/contact@lastName
May 25, 2016 Page 153 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Name isCounterparty=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

47. Consolidated

Account 

Counterparty

Contact First 

Name

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

First name of the 

contact person for 

the counterparty

cftcBatch/cftcForm102/related

Entity/contact@firstName

48. Consolidated 

Account 

Counterparty

Contact 

Middle Name

Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

Middle name of 

the contact person 

for the 

counterparty

cftcBatch/cftcForm102/related

Entity/contact@middleName
May 25, 2016 Page 154 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isCounterparty

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

49. Consolidated 

Account 

Counterparty

Contact Suffix

Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

Suffix of the 

contact person for 

the counterparty

cftcBatch/cftcForm102/related

Entity/contact@nameSuffix
May 25, 2016 Page 155 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

50. Consolidated

Account 

Counterparty

Contact Job 

Title

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

Job title of the 

contact person for 

the counterparty

entity

cftcBatch/cftcForm102/related

Entity/contact@titleOrPosition

51. Contact 

Relationship 

to 

Consolidated

Account 

Counterparty

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

Contact 

relationship to the 

counterparty

entity

cftcBatch/cftcForm102/related

Entity/contact@relationship
May 25, 2016 Page 156 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

52. Consolidated

Account 

Counterparty

Contact 

Phone 

Number

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

Phone number of 

the contact person 

for the 

counterparty

entity 

cftcBatch/cftcForm102/related

Entity/contact@telephone

53. Consolidated

Account 

Counterparty

Contact Email 

Address

Conditional. 

Required if 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

Email address of 

the contact person 

for the 

counterparty

entity 

cftcBatch/cftcForm102/related

Entity/contact@email
May 25, 2016 Page 157 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

54. Consolidated

Account 

Counterparty

Website

Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’ AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

URL of the 

counterparty’s 

website

cftcBatch/cftcForm102/related

Entity@website

55. Consolidated

Account 

Counterparty

NFA ID

Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’ AND 

foreignPrivacyExce

ption = ‘N’

The identification 

number given to 

the counterparty

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/related

Entity@NFAIdentifier
May 25, 2016 Page 158 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

56. Consolidated

Account 

Counterparty

Legal Entity 

Identifier (LEI)

Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND 

isCounterparty

=‘Y’

AND

OptionalOrSuppFie

ldsSeparatelyRepo

rted =‘Y’ AND 

foreignPrivacyExce

ption = ‘N’

The legal entity 

identifier (LEI) 

assigned to the 

counterparty

entity by the LEI 

issuer

cftcBatch/cftcForm102/related

Entity@legalEntityIdentifier

CONSOLIDATED ACCOUNT OWNER(S)

29.57. Consolidated 

Account 

Owner 

Indicator

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

THEN isOwner=‘Y’

Indicates 

reportable 

Consolidated 

account owner

Y = Yes

N = No

cftcBatch/cftcForm102/related

Entity@isOwner

30.58. Consolidated 

Account 

Owner Type 

Indicator

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

Indicates whether 

the Consolidated 

account owner is a 

legal entity or 

natural person

LE = Legal Entity

NP = Natural Person

cftcBatch/cftcForm102/related

Entity@entityType
May 25, 2016 Page 159 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND isOwner=‘Y’

31.59. Consolidated 

Account 

Owner 

Optional 

Fields or 

Supplemental 

Fields 

Reported to 

LEI Provider

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

Indicates that one 

or more “Optional 

Fields” or 

“Supplemental 

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with 

the LEI provided in 

this submission

Y = Yes

N = No

cftcBatch/cftcForm102/related

Entity@OptionalOrSuppFieldsS

eparatelyReported

IF CONSOLIDATED ACCOUNT OWNER IS A LEGAL ENTITY

32.60. Consolidated

Account 

Owner Legal 

Entity Name

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’

Legal or registered 

name of the 

reportable 

account owner

cftcBatch/cftcForm102/related

Entity@legalEntityName
May 25, 2016 Page 160 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

IF CONSOLIDATED ACCOUNT OWNER IS A NATURAL PERSON

33.61. Consolidated

Account 

Owner Last 

Name

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Surname of the 

natural person 

reportable 

account owner 

cftcBatch/cftcForm102/related

Entity@lastName

34.62. Consolidated

Account 

Owner First 

Name

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘NP’

AND 

Given or first in 

order name of the 

natural person 

reportable 

account owner 

cftcBatch/cftcForm102/related

Entity@firstName
May 25, 2016 Page 161 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

35.63. Consolidated 

Account 

Owner Middle 

Name

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Middle name of 

the natural person 

reportable 

account owner

cftcBatch/cftcForm102/related

Entity@middleName

36.64. Consolidated 

Account 

Owner Suffix

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘NP’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Suffix of the 

natural person 

reportable 

account owner

cftcBatch/cftcForm102/related

Entity@nameSuffix
May 25, 2016 Page 162 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

37.65. Consolidated

Account 

Owner Street 

Address

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Street address of 

the reportable 

account owner

cftcBatch/cftcForm102/related

Entity@street

38.66. Consolidated 

Account 

Owner Suite

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Suite of the 

reportable 

account owner

cftcBatch/cftcForm102/related

Entity@suite

39.67. Consolidated

Account 

Owner City

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

City of the 

reportable 

account owner

cftcBatch/cftcForm102/related

Entity@city
May 25, 2016 Page 163 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

40.68. Consolidated

Account 

Owner State

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

ISO 3166-2 

geopolitical

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/related

Entity@state

41.69. Consolidated

Account 

Owner 

Country

Question 3iii Conditional. 

Required if 

information 

available AND

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm102/ 

relatedAccount/relatedEntity

@country

42.70. Consolidated

Account 

Owner 

Question 3iii Conditional. 

Required if 

information 

Zip/Postal code of 

the reportable 

account owner

cftcBatch/cftcForm102/related

Entity@postalCode
May 25, 2016 Page 164 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Zip/Postal 

Code

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

43.71. Consolidated

Account 

Owner Phone 

Number

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Phone Number of 

the reportable 

account owner

cftcBatch/cftcForm102/related

Entity@telephone

IF CONSOLIDATED ACCOUNT OWNER IS A NATURAL PERSON

44.72. Consolidated

Account 

Owner Email 

Address

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

Email address of 

the reportable 

account owner

cftcBatch/cftcForm102/related

Entity@email
May 25, 2016 Page 165 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

entityType=‘NP’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

IF CONSOLIDATED ACCOUNT OWNER IS A LEGAL ENTITY

45.73. Consolidated

Account 

Owner 

Contact Last 

Name

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Surname of the 

contact person for 

the owner 

cftcBatch/cftcForm102/related

Entity/contact@lastName

46.74. Consolidated

Account 

Owner 

Contact First 

Name

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

First name of the 

contact person for 

the owner

cftcBatch/cftcForm102/related

Entity/contact@firstName
May 25, 2016 Page 166 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

47.75. Consolidated 

Account 

Owner 

Contact 

Middle Name

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Middle name of 

the contact person 

for the owner

cftcBatch/cftcForm102/related

Entity/contact@middleName

48.76. Consolidated 

Account 

Owner 

Contact Suffix

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Suffix of the 

contact person for 

the owner

cftcBatch/cftcForm102/related

Entity/contact@nameSuffix
May 25, 2016 Page 167 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

49.77. Consolidated

Account 

Owner 

Contact Job 

Title

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Job title of the 

contact person for 

the ownership 

entity

cftcBatch/cftcForm102/related

Entity/contact@titleOrPosition

50.78. Contact 

Relationship 

to 

Consolidated

Account 

Owner

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Contact 

relationship to the 

ownership entity

cftcBatch/cftcForm102/related

Entity/contact@relationship

51.79. Consolidated

Account 

Owner 

Contact 

Question 3iii Conditional. 

Required if 

information 

available AND 

Phone number of 

the contact person 

for the ownership 

entity 

cftcBatch/cftcForm102/related

Entity/contact@telephone
May 25, 2016 Page 168 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Phone 

Number

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

52.80. Consolidated

Account 

Owner 

Contact Email 

Address

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Email address of 

the contact person 

for the ownership 

entity 

cftcBatch/cftcForm102/related

Entity/contact@email

53.81. Consolidated

Account 

Owner 

Website

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’ 

AND 

OptionalOrSuppFie

URL of the owner’s 

website

cftcBatch/cftcForm102/related

Entity@website
May 25, 2016 Page 169 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

ldsSeparatelyRepo

rted=‘N’

54.82. Consolidated

Account 

Owner NFA ID

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

The identification 

number given to 

the ownership 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/related

Entity@NFAIdentifier

55.83. Consolidated

Account 

Owner Legal 

Entity 

Identifier (LEI)

Question 3iii Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND

OptionalOrSuppFie

ldsSeparatelyRepo

rted =‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

ownership entity 

by the LEI issuer

cftcBatch/cftcForm102/related

Entity@legalEntityIdentifier

CONSOLIDATED ACCOUNT CONTROLLER(S)

56.84. Consolidated 

Account 

Controller 

Question 3iv Conditional. 

Required if 

information 

Indicates reporting 

Consolidated 

account Controller

Y = Yes

N = No

cftcBatch/cftcForm102/related

Entity@isController
May 25, 2016 Page 170 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Indicator available AND 

isOmnibus=‘N’ 

THEN

isController=‘Y’

57.85. Consolidated 

Account 

Controller 

Entity Type

Question 3iv Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

LE = Legal Entity

NP = Natural Person

cftcBatch/cftcForm102/related

Entity@entityType

58.86. Consolidated 

Account 

Controller 

Optional 

Fields or 

Supplemental 

Fields 

Reported to 

LEI Provider

Question 3iv Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND 

isController=‘Y’

Indicates that one 

or more “Optional 

Fields” or 

“Supplemental 

Fields” not 

included in this 

question were 

reported to the 

CICI Utility (or 

other CFTCapproved LEI 

provider) and are 

associated with 

the LEI provided in 

this submission

Y = Yes

N = No

cftcBatch/cftcForm102/related

Entity@OptionalOrSuppFieldsS

eparatelyReported
May 25, 2016 Page 171 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

IF CONSOLIDATED ACCOUNT CONTROLLER IS A LEGAL ENTITY

59.87. Consolidated

Account 

Controller 

Legal Entity 

Name

Question 3iv Conditional. 

Required if

information 

available AND

isOmnibus=‘N’

AND 

isController=‘Y’

AND 

entityType=‘LE’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Legal or registered 

name of the 

reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@legalEntityName

IF CONSOLIDATED ACCOUNT CONTROLLER IS A NATURAL PERSON

60.88. Consolidated

Account 

Controller 

Natural 

Person Last 

Name

Question 3iv Conditional. 

Required if 

information 

available AND

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

Surname of the 

natural person 

reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@lastName
May 25, 2016 Page 172 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

rted=‘N’

61.89. Consolidated

Account 

Controller 

Natural 

Person First 

Name

Question 3iv Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Given or first in 

order name of the 

natural person 

reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@firstName

62.90. Consolidated

Account 

Controller 

Natural 

Person Middle 

Name

Question 3iv Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

cftcBatch/cftcForm102/related

Entity@middleName

63.91. Consolidated

Account 

Controller 

Question 3iv Conditional. 

Required if 

information 

cftcBatch/cftcForm102/related

Entity@nameSuffix
May 25, 2016 Page 173 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Natural 

Person Suffix

available 

ANDisOmnibusAN

D isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

64.92. Consolidated

Account 

Controller 

Street 

Address

Question 3iv Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Street address of 

the reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@street

65.93. Consolidated

Account 

Controller 

Suite

Question 3iv Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’ 

Suite of the 

reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@suite
May 25, 2016 Page 174 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isController=‘Y’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

66.94. Consolidated

Account 

Controller City

Question 3iv Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

City of the 

reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@city

67.95. Consolidated

Account 

Controller 

State

Question 3iv Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm102/related

Entity@state
May 25, 2016 Page 175 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

68.96. Consolidated

Account 

Controller 

Country

Question 3iv Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’

ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm102/related

Entity@country

69.97. Consolidated

Account 

Controller 

Zip/Postal 

Code

Question 3iv Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Zip/Postal code of 

the reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@postalCode

70.98. Consolidated

Account 

Controller 

Phone 

Number

Question 3iv Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

Phone Number of 

the reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@telephone
May 25, 2016 Page 176 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

rted=‘N’

71.99. Consolidated

Account 

Controller 

Email Address

Question 3iv Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’ 

AND 

isController=‘Y’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Email address of 

the reportable 

account Controller

cftcBatch/cftcForm102/related

Entity@email

IF CONSOLIDATED ACCOUNT CONTROLLER IS A LEGAL ENTITY

72.100 Consolidated

Account 

Controller 

Contact Last 

Name

Question 3iv Conditional. 

Required if

information 

available AND

isOmnibus=‘N’

AND 

isController=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

Surname of the 

contact person for 

the owner

cftcBatch/cftcForm102/related

Entity/contact@lastName
May 25, 2016 Page 177 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

rted=‘N’

73.101 Consolidated

Account 

Controller 

Contact First 

Name

Question 3iv Conditional. 

Required if

information 

available AND

isOmnibus=‘N’

AND isController 

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

First name of the 

contact person for 

the owner

cftcBatch/cftcForm102/related

Entity/contact@firstName

74.102 Consolidated 

Account 

Controller 

Contact 

Middle Name

Question 3iv Conditional. 

Required if 

information 

available 

ANDisOmnibus=‘N

’ AND isController 

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Middle name of 

the contact person 

for the owner

cftcBatch/cftcForm102/related

Entity/contact@middleName
May 25, 2016 Page 178 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

75.103 Consolidated 

Account 

Controller 

Contact Suffix

Question 3iv Conditional. 

Required if 

information 

available 

ANDisOmnibus=‘N

’ AND isController 

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Suffix of the 

contact person for 

the owner

cftcBatch/cftcForm102/related

Entity/contact@nameSuffix

76.104 Consolidated

Account 

Controller 

Contact Job 

Title

Question 3iv Conditional. 

Required if

information 

available AND

isOmnibus=‘N’

AND isController 

=‘Y’

AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Job title of the 

contact person at 

or related to the 

controller entity

cftcBatch/cftcForm102/related

Entity/contact@titleOrPosition

77.105 Contact 

Relationship 

Question 3iv Conditional. 

Required if

Contact 

relationship to 

cftcBatch/cftcForm102/related

Entity/contact@relationship
May 25, 2016 Page 179 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

to 

Consolidated

Account 

Controller

information 

available AND

isOmnibus=‘N’

AND isController 

=‘Y’ AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

controller entity

78.106 Consolidated

Account 

Controller 

Contact 

Phone 

Number

Question 3iv Conditional. 

Required if

information 

available AND

isOmnibus=‘N’

AND isController 

=‘Y’ AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

Phone number of 

the contact person 

for the controller 

entity 

cftcBatch/cftcForm102/related

Entity/contact@telephone

79.107 Consolidated

Account 

Controller 

Contact Email 

Address

Question 3iv Conditional. 

Required if

information 

available AND

isOmnibus=‘N’

AND isController 

Email address of 

the contact person 

for the controller 

entity 

cftcBatch/cftcForm102/related

Entity/contact@email
May 25, 2016 Page 180 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

=‘Y’ AND 

entityType=‘LE’ 

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

80.108 Consolidated

Account 

Controller 

NFA ID

Question 3iv Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isController 

=‘Y’

AND 

OptionalOrSuppFie

ldsSeparatelyRepo

rted=‘N’

The identification 

number given to 

the controller 

entity by the 

National Futures 

Association

cftcBatch/cftcForm102/related

Entity@NFAIdentifier

81.109 Consolidated

Account 

Controller 

Legal Entity 

Identifier (LEI)

Question 3iv Conditional. 

Required if 

information 

available AND 

isOmnibus=‘N’

AND isController 

=‘Y’

AND

OptionalOrSuppFie

ldsSeparatelyRepo

rted =‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

controller entity 

by the LEI issuer

cftcBatch/cftcForm102/related

Entity@legalEntityIdentifier
May 25, 2016 Page 181 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

82.110 Paired Swap 

Indicator

Question 4 YesNo Indicates if 

response is related 

to paired swap 

activity

cftcBatch/cftcForm102/paired

SwapOrSwaptionActivity@isSw

ap

83.111 Paired 

Swaption 

Indicator

Question 4 YesNo Indicates if 

response is related 

to paired swaption 

activity

cftcBatch/cftcForm102/paired

SwapOrSwaptionActivity@isSw

aption

84.112 Paired Swaps 

and 

Swaptions 

Market 

Activity

Question 4 YesNo Description of the 

nature of the 

counterparty’s or 

customer’s paired 

swaps and 

swaptions market 

activity

cftcBatch/cftcForm102/paired

SwapOrSwaptionActivity@des

cription

85.113Reporting 

Firm 

Authorization 

Indicator

Signature/Authenti

cation

Yes Indicates if the 

submitter is duly 

authorized by the 

reporting firm to 

provide the 

information and 

representations 

submitted on this 

Form 102, and 

that information 

Y = authorized

N = not authorized

cftcBatch/cftcForm102/contac

t@isAuthorizedRepresentative
May 25, 2016 Page 182 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

and 

representations 

are true and 

correct

86.114Authorized 

Representativ

e Last Name

Signature/Authenti

cation

Yes Surname of the 

authorized 

representative

cftcBatch/cftcForm102/contac

t@lastName

87.115Authorized 

Representativ

e First Name

Signature/Authenti

cation

Yes Given or first in 

order name of the 

authorized 

representative

cftcBatch/cftcForm102/contac

t@firstName

88.116Authorized 

Representativ

e Middle 

Name

Signature/Authenti

cation

Yes Middle name of 

the authorized 

representative

cftcBatch/cftcForm102/contac

t@middleName

89.117Authorized 

Representativ

e Name Suffix

Signature/Authenti

cation

Yes Generation or 

name suffix of the 

authorized 

representative

cftcBatch/cftcForm102/contac

t@nameSuffix

90.118Authorized 

Representativ

e Position

Signature/Authenti

cation

Yes Job position of the 

authorized 

representative

cftcBatch/cftcForm102/contac

t@titleOrPosition

91.119Authorized 

Representativ

e Submitted 

on behalf of

Signature/Authenti

cation

Yes Reporting Firm 

Name 102 was 

submitted on 

behalf of

cftcBatch/cftcForm102@onBe

halfOf
May 25, 2016 Page 183 of 291

Data 

Element

Form 102S

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

92.120Date of 

Submission

Signature/Authenti

cation

Yes Date [indicated by 

the authorized 

representative] 

that the form was 

submitted to CFTC

cftcBatch/cftcForm102@submi

tDate

Data Dictionary for Form 71 – Identification of omnibus accounts and sub-accounts20

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

1. Form Number Yes 71 cftcBatch/cftcForm71@formN

umber

2. Acknowledge

ment of 

Definitions 

Indicator

Acknowledgement 

of Definitions

Yes Indicates whether 

the submitter 

acknowledged 

reading a list of 

Y = Yes

N = No

cftcBatch/cftcForm71@ackno

wledgeDefinitions

 

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

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

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

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

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

26789a.pdf
May 25, 2016 Page 184 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

terms used in the 

form

3. New/Modified

/Correction 

Indicator

Yes Indicates whether 

the omnibus 

account is:

• New and 

being 

reported 

for the 

first time 

on a Form 

71

• Modified -

previously 

reported 

on a Form 

71 and 

being resubmitted 

because 

something 

has 

changed

• Corrected 

- being 

reported 

in order to 

correct 

N = new

M = modified

C = corrected

cftcBatch/cftcForm71@inform

ationType
May 25, 2016 Page 185 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

previouslysubmitted 

erroneous 

data

4. Account 

Number21

Section A Yes Account number 

of the omnibus 

volume threshold 

account (from 

Form 102B) or 

omnibus 

reportable subaccount (from 

Form 71) as 

identified on the 

referenced forms

cftcBatch/cftcForm71@accoun

tNumber

5. Form Type

Origination

Section A Yes Form type of the 

form which 

identified the 

omnibus volume 

threshold account 

(Form 102B) or 

omnibus 

102B = Form 102B

71 = Form 71

cftcBatch/cftcForm71@origina

lFormNumber

 

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

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

incorporate these fields in their FTP submission.
May 25, 2016 Page 186 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

reportable subaccount (Form 71)

6. Name of 

Identifying 

Entity

Section A Yes Name of the 

clearing member 

(if Form 102B) or 

preceding 

originator (if Form 

71) that identified 

the omnibus 

volume threshold 

account or 

omnibus 

reportable subaccount, 

respectively

7. Reporting 

Market

Section A Yes The reporting 

contract market 

on which the 

identified account 

is traded

cftcBatch/cftcForm71@market

Id

8. Entity Type 

Indicator

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

ype

9. Name of 

Originator

Section A Yes cftcBatch/cftcForm71@legalEn

tityName

10. Originator 

Street 

Address 

Section A Yes Street Address of 

the omnibus 

account originator 

as indicated on the 

cftcBatch/cftcForm71@street
May 25, 2016 Page 187 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Form 102B or 

Form 71

11. Originator 

Suite

Section A Conditional. 

Required if 

information 

available

cftcBatch/cftcForm71@suite

12. Originator City Section A Yes City of the 

omnibus account 

originator as 

indicated on the 

Form 102B or 

Form 71

cftcBatch/cftcForm71@city

13. Originator 

State

Section A Yes ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters as 

indicated on the 

Form 102B or 

Form 71

cftcBatch/cftcForm71@state

14. Originator 

Country 

Section A Yes ISO 3166-1 

alpha-2 country 

code as indicated 

on the Form 102B 

or Form 71

cftcBatch/cftcForm71@countr

y

15. Originator 

Zip/Postal 

Code

Section A Yes Zip Code or Postal 

Code of the 

omnibus account 

cftcBatch/cftcForm71@postal

Code
May 25, 2016 Page 188 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

originator as 

indicated on the 

Form 102B or 

Form 71

16. Originator 

Phone 

Number

Section A Yes Phone Number of 

the omnibus 

account originator 

as indicated on the 

Form 102B or 

Form 71

cftcBatch/cftcForm71@teleph

one

17. Originator 

Contact Last 

Name

Section A Yes Contact surname 

for the omnibus 

account originator 

as indicated on the 

Form 102B or 

Form 71

cftcBatch/cftcForm71/contact

@lastName

18. Originator 

Contact 

Middle Name

Section A Conditional. 

Required if 

information 

available

cftcBatch/cftcForm71/contact

@middleName

19. Originator

Contact First 

Name

Section A Yes Contact first in 

order name for the 

omnibus account 

originator as 

indicated on the 

Form 102B or 

Form 71

cftcBatch/cftcForm71/contact

@firstName

20. Originator 

Contact Suffix

Section A Conditional. 

Required if 

cftcBatch/cftcForm71/contact

@nameSuffix
May 25, 2016 Page 189 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

information 

available

21. Originator 

Contact Job 

Title

Section A Yes Job Title of the 

Contact for the 

omnibus account 

originator as 

indicated on the 

Form 102B or 

Form 71

cftcBatch/cftcForm71/contact

@titleOrPosition

22. Contact 

Relationship 

to Originator

Section A Yes Contact 

relationship to the 

originator

cftcBatch/cftcForm71/contact

@relationship

23. Originator 

Contact 

Phone 

Number

Section A Yes Phone Number of 

the Contact for the 

omnibus account 

originator as 

indicated on the 

Form 102B or 

Form 71

cftcBatch/cftcForm71/contact

@telephone

24. Originator 

Contact Email 

Address

Section A Yes Email Address of 

the Contact for the 

omnibus account 

originator as 

indicated on the 

Form 102B or 

Form 71

cftcBatch/cftcForm71/contact

@email

25. Originator 

Website 

Section A Conditional. 

Required if 

information 

URL of the website 

of the omnibus 

account originator

cftcBatch/cftcForm71 

@website
May 25, 2016 Page 190 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

available

26. Originator 

NFA ID 

Section A Conditional. 

Required if 

information 

available

The identification 

number given to 

the originator by 

the National 

Futures 

Association

cftcBatch/cftcForm71@NFAIde

ntifier

27. Originator 

Legal Entity 

Identifier (LEI)

Section A Conditional. 

Required if 

information 

available

The legal entity 

identifier (LEI) 

assigned to the 

originator by the 

LEI issuer

cftcBatch/cftcForm71 

@legalEntityIdentifier

28. Allocation of 

Trades 

Indicator

Section B –

Question 1

Yes Indicates if the 

originator 

allocated trades 

from the specified 

omnibus account 

on the specified 

date on the 

specified reporting 

market

Y = trades were 

allocated 

N = trades were not 

allocated

cftcBatch/cftcForm71 

@tradesAllocated

29. Sum of 

Allocations 

Reportable 

Trading 

Volume for 

Recipient 

Account 

Section B –

Question 2

Yes For cases where 

trades were 

allocated, 

indicates whether 

the sum of 

allocations 

resulted in 

Y = resulted in 

reportable trading 

volume 

N = did not result in 

reportable trading 

volume

cftcBatch/cftcForm71 

@isReportable
May 25, 2016 Page 191 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Indicator reportable trading 

volume for a 

recipient account 

on the specified 

date on the 

specified reporting 

market

REPORTABLE SUB-ACCOUNT OWNERSHIP AND CONTROL INFORMATION

OMNIBUS REPORTABLE SUB-ACCOUNT INFORMATION

30. Reportable 

Sub-Account 

Number

Question 3 Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’

cftcBatch/cftcForm71/relatedA

ccount@accountNumber

31. Reportable 

Sub-Account 

Omnibus 

Account 

Indicator

Question 3ai Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’

Is the Reportable 

Sub-Account an 

omnibus account

Y = Yes

N = No

cftcBatch/cftcForm71/relatedA

ccount@isOmnibus

32. House or 

Customer 

Indicator

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’

If the reported 

Reportable SubAccount is being 

reported as an 

Omnibus Account 

indicate whether 

the Reportable 

H = House

C = Customer

cftcBatch/ 

cftcForm71/relatedAccount@a

ccountClass
May 25, 2016 Page 192 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Sub-Account 

Omnibus Account 

is a house or 

customer account 

of the reporting 

firm

33. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Indicator

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’ THEN 

isOriginator = ‘Y’

Indicates reporting 

Volume Threshold 

Account Omnibus 

Account orginiator

Y = Yes

N = No

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity@isOriginator

34. Reportable 

Sub-Account 

Omnibus 

Account Entity 

Type

Question 3aii Yes LE=Legal Entity cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity@entityType

35. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Name

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’

Name of the 

reportable account 

Originator 

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity@legalEntityName

36. Reportable 

Sub-Account 

Omnibus 

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

Street address of 

the reportable 

account Originator

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity@street
May 25, 2016 Page 193 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Account 

Originator 

Street 

Address

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’

37. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Suite

Question 3aii Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity@suite

38. Reportable 

Sub-Account 

Omnibus 

Account 

Originator City

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’

City of the 

reportable account 

Originator

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity@city

39. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

State

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity@state

40. Reportable 

Sub-Account 

Question 3aii Conditional. 

Required if 

ISO 3166-1 

alpha-2 country 

cftcBatch/ 

cftcForm71/relatedAccount/re
May 25, 2016 Page 194 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Omnibus 

Account 

Originator 

Country

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’

code latedEntity@country

41. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Zip/Postal 

Code

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’

Zip/Postal code of 

the reportable 

account Originator

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity@postalCode

42. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Phone 

Number

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’

Phone Number of 

the reportable 

account Originator

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity@telephone

43. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Contact Last 

Name

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’ AND 

entityType=‘LE’

Surname of the 

contact person for 

the Originator 

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity/contact@lastName
May 25, 2016 Page 195 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

44. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Contact First 

Name

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’ AND 

entityType=‘LE’

First name of the 

contact person for 

the Originator

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity/contact@firstNam

e

45. Reportable 

Sub-Account 

Omnibus 

Account 

Contact 

Middle Name

Question 3aii Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’ AND 

entityType=‘LE’

Middle name of 

the contact person 

for the Originator

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity/contact@middleNa

me

46. Reportable 

Sub-Account 

Omnibus 

Account 

Contact Suffix

Question 3aii Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’ AND 

entityType=‘LE’

Suffix of the 

contact person for 

the Originator

cftcBatch/cftcForm102/related

Account/relatedEntity/contact

@nameSuffix
May 25, 2016 Page 196 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

47. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Contact Job 

Title

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’ AND 

entityType=‘LE’

Job title of the 

contact person for 

the Originator 

entity

cftcBatch/cftcForm102/related

Account/relatedEntity/contact

@titleOrPosition

48. Contact 

Relationship 

to Reportable 

Sub-Account 

Omnibus 

Account 

Originator

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’ AND 

entityType=‘LE’

Contact 

relationship to the 

Originator entity

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity/contact@relations

hip

49. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Contact 

Phone 

Number

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’ AND 

entityType=‘LE’

Phone number of 

the contact person 

for the Originator 

entity 

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity/contact@telephon

e

50. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Question 3aii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

Email address of 

the contact person 

for the Originator 

entity 

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity/contact@email
May 25, 2016 Page 197 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Contact Email 

Address

’ AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

51. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

Website

Question 3aii Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’

AND 

entityType=‘LE’

URL of the 

Originator’s 

website

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity@website

52. Reportable 

Sub-Account 

Omnibus 

Account 

Originator 

NFA ID

Question 3aii Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’

The identification 

number given to 

the Originator 

entity by the 

National Futures 

Association

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity@NFAIdentifier

53. Reportable 

Sub-Account 

Omnibus 

Account 

Question 3aii Conditional. 

Required if 

information 

available AND 

The legal entity 

identifier (LEI) 

assigned to the 

Originator entity 

cftcBatch/ 

cftcForm71/relatedAccount/re

latedEntity@legalEntityIdentifi

er
May 25, 2016 Page 198 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Originator 

Legal Entity 

Identifier (LEI)

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND isOmnibus 

=‘Y’

by the LEI issuer

NON-OMNIBUS REPORTABLE SUB-ACCOUNT OWNER(S)

54. Reportable 

Sub-Account 

Owner 

Indicator

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

THEN isOwner=‘Y’

Indicates reporting 

Reportable SubAccount account 

owner

Y = Yes

N = No

cftcBatch/ cftcForm71/ 

relatedAccount/relatedEntity

@isOwner

55. Reportable 

Sub-Account 

Owner Type 

Indicator

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

Indicates whether 

the Reportable 

Sub-Account 

owner is a legal 

entity or natural 

person

LE = Legal Entity 

NP = Natural Person

cftcBatch/ cftcForm71/ 

relatedAccount/relatedEntity

@entityType

IF REPORTABLE SUB-ACCOUNT OWNER IS A LEGAL ENTITY

56. Reportable 

Sub-Account 

Question 3bi Conditional. 

Required if 

Legal or registered 

name of the 

cftcBatch/ cftcForm71/ 

relatedAccount/relatedEntity
May 25, 2016 Page 199 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Owner Legal 

Entity Name

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’

reportable subaccount owner@legalEntityName

IF REPORTABLE SUB-ACCOUNT OWNER IS A NATURAL PERSON

57. Reportable 

Sub-Account 

Owner Last 

Name

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘NP’

Surname of the 

natural person 

reportable subaccount owner 

cftcBatch/ cftcForm71/ 

relatedAccount/relatedEntity

@lastName

58. Reportable 

Sub-Account 

Owner First 

Name

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

Given or first in 

order name of the 

natural person 

reportable subaccount owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@firstName
May 25, 2016 Page 200 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND isOwner=‘Y’

AND 

entityType=‘NP’

59. Reportable 

Sub-Account 

Owner Middle 

Name

Question 3bi Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘NP’

Middle name of 

the natural person 

reportable subaccount owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@middleName

60. Reportable 

Sub-Account 

Owner Suffix

Question 3bi Conditional. 

Required if 

information 

available 

ANDisReportable=‘

Y’ AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘NP’

Suffix of the 

natural person 

reportable subaccount owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@nameSuffix

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS
May 25, 2016 Page 201 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

61. Reportable 

Sub-Account 

Owner Street 

Address

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

Street address of 

the reportable 

sub-account 

owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@street

62. Reportable 

Sub-Account 

Owner Suite

Question 3bi Conditional. 

Required if 

information 

available 

ANDisReportable=‘

Y’ AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

Suite of the 

reportable subaccount owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@suite

63. Reportable 

Sub-Account 

Owner City

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

City of the 

reportable subaccount owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@city

64. Reportable 

Sub-Account 

Owner State

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

ISO 3166-2 

geopolitical 

subdivision code; 

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@state
May 25, 2016 Page 202 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

1-3 alphanumeric 

characters

65. Reportable 

Sub-Account 

Owner 

Country

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@country

66. Reportable 

Sub-Account 

Owner 

Zip/Postal 

Code

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

Zip/Postal code of 

the reportable 

sub-account 

owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@postalCode

67. Reportable 

Sub-Account 

Owner Phone 

Number

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

Phone Number of 

the reportable 

sub-account 

owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@telephone
May 25, 2016 Page 203 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

IF REPORTABLE SUB-ACCOUNT OWNER IS A NATURAL PERSON

68. Reportable 

Sub-Account 

Owner Email 

Address

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

Email address of 

the reportable 

sub-account 

owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@email

IF REPORTABLE SUB-ACCOUNT OWNER IS A LEGAL ENTITY

69. Reportable 

Sub-Account 

Owner 

Contact Last 

Name

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’

Surname of the 

contact person for 

the owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity/

contact@lastName

70. Reportable 

Sub-Account 

Owner 

Contact First 

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

First name of the 

contact person for 

the owner 

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity/

contact@firstName
May 25, 2016 Page 204 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Name tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’

71. Reportable 

Sub-Account 

Owner 

Contact 

Middle Name

Question 3bi Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’

Middle name of 

the contact person 

for the owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity/

contact@middleName

72. Reportable 

Sub-Account 

Owner 

Contact Suffix

Question 3bi Conditional. 

Required if 

information 

available AND 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

Suffix of the 

contact person for 

the owner

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity/

contact@nameSuffix
May 25, 2016 Page 205 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

entityType=‘LE’

73. Reportable 

Sub-Account 

Owner 

Contact Job 

Title

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’

Job title of the 

contact person for 

the ownership 

entity

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity/

contact@titleOrPosition

74. Contact 

Relationship 

to Reportable 

Sub-Account 

Owner

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’

Contact 

relationship to the 

ownership entity

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity/

contact@relationship

75. Reportable 

Sub-Account 

Owner 

Contact 

Phone 

Number

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

Phone number of 

the contact person 

for the ownership 

entity 

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity/

contact@telephone
May 25, 2016 Page 206 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND isOwner=‘Y’

AND 

entityType=‘LE’

76. Reportable 

Sub-Account 

Owner 

Contact Email 

Address

Question 3bi Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’

Email address of 

the contact person 

for the ownership 

entity 

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity/

contact@email

77. Reportable 

Sub-Account 

Owner 

Website

Question 3bi Conditional. 

Required if 

information 

available AND

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

AND 

entityType=‘LE’

URL of the owner’s 

website

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@website

78. Reportable 

Sub-Account 

Owner NFA ID

Question 3bi Conditional. 

Required if 

information 

available AND

The identification 

number given to 

the ownership 

entity by the 

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@NFAIdentifier
May 25, 2016 Page 207 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

National Futures 

Association

79. Reportable 

Sub-Account 

Owner Legal 

Entity 

Identifier (LEI)

Question 3bi Conditional. 

Required if 

information 

available AND

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND isOwner=‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

ownership entity 

by the LEI issuer

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@legalEntityIdentifier

NON-OMNIBUS REPORTABLE SUB-ACCOUNT CONTROLLER(S)

80. Reportable 

Sub-Account 

Controller 

Indicator

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

THEN 

isController=‘Y’

Indicates 

reportable subaccount controller

Y = Yes

N = No

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@isController
May 25, 2016 Page 208 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

81. Reportable 

Sub-Account 

Controller 

Entity Type

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

THEN 

entityType=‘NP’

Reportable subaccount controller 

entity type

NP = Natural Person cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@entityType

82. Reportable 

Sub-Account 

Controller 

Natural 

Person Last 

Name

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

Surname of the 

natural person 

reportable subaccount Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@lastName

83. Reportable 

Sub-Account 

Controller 

Natural 

Person First 

Name

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND 

Given or first in 

order name of the 

natural person 

reportable subaccount Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@firstName
May 25, 2016 Page 209 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isController=‘Y’

84. Reportable 

Sub-Account 

Controller 

Natural 

Person Middle 

Name

Question 3bii Conditional. 

Required if 

information 

available AND

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

Middle name of 

the natural person 

reportable subaccount Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@middleName

85. Reportable 

Sub-Account 

Controller 

Natural 

Person Suffix

Question 3bii Conditional. 

Required if 

information 

available AND

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

Suffix of the 

natural person 

reportable subaccount Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@nameSuffix

86. Reportable 

Sub-Account 

Controller 

Street 

Address

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

Street address of 

the reportable 

sub-account 

Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@street
May 25, 2016 Page 210 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

87. Reportable 

Sub-Account 

Controller 

Suite

Question 3bii Conditional. 

Required if 

information 

available AND

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

Suite of the 

reportable subaccount Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@suite

88. Reportable 

Sub-Account 

Controller City

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

City of the 

reportable subaccount Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@city

89. Reportable 

Sub-Account 

Controller 

State

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@state
May 25, 2016 Page 211 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

90. Reportable 

Sub-Account 

Controller 

Country

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@country

91. Reportable 

Sub-Account 

Controller 

Zip/Postal 

Code

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

Zip/Postal code of 

the reportable 

sub-account 

Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@postalCode

92. Reportable 

Sub-Account 

Controller 

Phone 

Number

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

Phone Number of 

the reportable 

sub-account 

Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@telephone
May 25, 2016 Page 212 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isController=‘Y’

93. Reportable 

Sub-Account 

Controller 

Name of 

Employer

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@employerName

94. Reportable 

Sub-Account 

Controller Job 

Title

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

Job title of the 

contact person for 

the Controller 

entity

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@titleOrPosition

95. Relationship 

to Reportable 

Sub-Account 

Owner

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

Contact 

relationship to the 

Owner entity

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@relationship
May 25, 2016 Page 213 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

96. Reportable 

Sub-Account 

Controller 

Email Address

Question 3bii Conditional. 

Required if 

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

Email address of 

the reportable 

sub-account 

Controller

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@email

97. Reportable 

Sub-Account 

Controller 

NFA ID

Question 3bii Conditional. 

Required if 

information 

available AND

isReportable=‘Y’ 

AND 

tradesAllocated=‘Y

’ AND 

isOmnibus=‘N’

AND 

isController=‘Y’

The identification 

number given to 

the Controller 

entity by the 

National Futures 

Association

cftcBatch/cftcForm71/ 

relatedAccount/relatedEntity

@NFAIdentifier

98. Originator 

Authorization 

Indicator

Section C Yes Indicates if the 

submitter is duly 

authorized by the 

relevant originator 

(as specified on 

the Form 102B or 

Form 71), to 

provide the 

information and 

Y = authorized

N = not authorized

cftcBatch/cftcForm71/contact

@isAuthorizedRep
May 25, 2016 Page 214 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

representations 

submitted on this 

Form 71, and that 

information and 

representations 

are true and 

correct

99. Authorized 

Representativ

e Last Name

Section C Yes Surname of the 

authorized 

representative

cftcBatch/cftcForm71/contact

@lastName

100. Authorized 

Representativ

e First Name

Section C Yes Given or first in 

order name of the 

authorized 

representative

cftcBatch/cftcForm71/contact

@firstName

101. Authorized 

Representativ

e Middle 

Name

Section C Yes Middle name of 

the authorized 

representative

cftcBatch/cftcForm71/contact

@middleName

102. Authorized 

Representativ

e Name Suffix

Section C Yes Generation or 

name suffix of the 

authorized 

representative

cftcBatch/cftcForm71/contact

@nameSuffix

103. Authorized 

Representativ

e Position

Section C Yes Job position of the 

authorized 

representative

cftcBatch/cftcForm71/contact

@titleOrPosition

104. Date of 

Submission

Section C Yes Date [indicated by 

the authorized 

representative] 

that the form was 

cftcBatch/cftcForm71@submit

Date
May 25, 2016 Page 215 of 291

Data 

Element

Form 71 

Question Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

submitted to CFTC

Data Dictionary for Form 40 – Statement of reporting trader22

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

1. Form Number Yes 40 cftcBatch/cftcForm40@formN

umber

2. Acknowledge

ment of 

Definitions 

Indicator

Section –

Acknowledgement 

of Definitions

Yes Indicates whether 

the submitter 

acknowledged 

reading a list of 

terms used in the 

form

Y = Yes

N = No

cftcBatch/cftcForm40@ackno

wledgeDefinitions

3. New/Modified

/Correction 

Yes Indicates whether 

the reportable 

N = New

M = Modified

cftcBatch/cftcForm40@inform

ationType

 

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

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

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

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

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

26789a.pdf
May 25, 2016 Page 216 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Indicator trader is:

• New and 

being 

reported 

for the 

first time 

on a Form 

40

• Modified -

previously 

reported 

on a Form 

40 and 

being resubmitted 

because 

something 

has 

changed

• Corrected 

- being 

reported 

in order to 

correct 

previously

-submitted 

erroneous 

data

C = Corrected
May 25, 2016 Page 217 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

REPORTING TRADER CONTACT INFORMATION

4. Trader Type 

Indicator

Question 1 Yes Indicates whether 

the reporting 

trader is a legal 

entity or natural 

person

LE = Legal Entity

NP = Natural Person

cftcBatch/cftcForm40@entityT

ype

IF REPORTING TRADER IS A LEGAL ENTITY

5. Legal Entity 

Name of 

Reporting 

Trader

Question 1 Conditional.

Required if 

entityType = ‘LE’

The legal name of 

the reporting 

trader (if legal 

entity).

cftcBatch/cftcForm40@legalEn

tityName

IF REPORTING TRADER IS A NATURAL PERSON

6. Last Name of 

Reporting 

Trader

Question 1 Conditional.

Required if 

entityType = ‘NP’

Surname of the 

reporting trader 

cftcBatch/cftcForm40@lastNa

me

7. First Name of 

Reporting 

Trader

Question 1 Conditional.

Required if 

entityType = ‘NP’

Given or first in 

order name of the 

reporting trader

cftcBatch/cftcForm40@firstNa

me

8. Middle Name 

of Reporting 

Trader

Question 1 Conditional. 

Required if 

information 

available AND 

entityType = ‘NP’

Middle name of 

the reporting 

trader 

cftcBatch/cftcForm40@middle

Name

9. Name Suffix 

of the 

Question 1 Conditional. 

Required if 

Generational or 

name suffix of the 

cftcBatch/cftcForm40@nameS

uffix
May 25, 2016 Page 218 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Reporting 

Trader

information 

available AND 

entityType = ‘NP’

reporting trader

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

10. Street 

Address of 

Reporting 

Trader

Question 1 Yes The street address 

of the reporting 

trader

cftcBatch/cftcForm40@street

11. Suite Number 

of Reporting 

Trader

Question 1 Conditional. 

Required if 

information 

available

The suite number 

of the reporting 

trader

cftcBatch/cftcForm40@suite

12. City of 

Reporting 

Trader

Question 1 Yes The city of the 

reporting trader

cftcBatch/cftcForm40@city

13. State of 

Reporting 

Trader

Question 1 Yes ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40@state

14. Country of 

Reporting 

Trader

Question 1 Yes ISO 3166-1 alpha-2 

country code

cftcBatch/cftcForm40@countr

y

15. Zip/Postal 

Code of 

Reporting 

Trader

Question 1 Yes The zip code or 

postal code of the 

reporting trader

cftcBatch/cftcForm40@postal

Code
May 25, 2016 Page 219 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

16. Phone 

Number of 

Reporting 

Trader

Question 1 Yes The phone 

number of the 

reporting trader

cftcBatch/cftcForm40@teleph

one

17. Email Address 

of Reporting 

Trader

Question 1 Yes The email address 

of the reporting 

trader

cftcBatch/cftcForm40@email

18. Website of 

Reporting 

Trader

Question 1 Conditional. 

Required if 

information 

available

The website of the 

reporting trader

cftcBatch/cftcForm40@websit

e

19. NFA ID of 

Reporting 

Trader

Question 1 Conditional. 

Required if 

information 

available

The identification 

number given to 

the reporting 

trader by the 

National Futures 

Association

cftcBatch/cftcForm40@NFAIde

ndtifier

20. Legal Entity 

Identifier of 

Reporting 

Trader

Question 1 Conditional. 

Required if 

information 

available

The legal entity 

identifier (LEI) 

assigned to the 

reporting trader 

by the LEI issuer

cftcBatch/cftcForm40@legalEn

tityIdentifier

21. Name of 

Reporting 

Trader’s 

Employer

Question 1 Yes The name of the 

trader’s employer

cftcBatch/cftcForm40@emplo

yerName

22. Reporting 

Trader’s 

Employer’s 

Question 1 Conditional. 

Required if 

information 

The identification 

number given to 

the reporting 

cftcBatch/cftcForm40@emplo

yerNFAIdentifier
May 25, 2016 Page 220 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

NFA ID available trader’s employer 

by the National 

Futures 

Association

23. Reporting 

Trader’s 

Employer’s 

Legal Entity 

Identifier

Question 1 Conditional. 

Required if 

information 

available

The legal entity 

identifier (LEI) 

assigned to the 

reporting trader’s 

employer by the 

LEI issuer

cftcBatch/cftcForm40@emplo

yerLEI

CONTACT INFORMATION – DERIVATIVES TRADING CONTACT PERSON

24. Contact for 

Derivatives 

Trading of 

Reporting 

Trader

Question 2 Yes Indicates whether 

the contact 

information is 

regarding the 

derivatives trading 

of the reporting 

traders 

Y = Yes

N = No

cftcBatch/CftcForm40/contact

@isDerivativesPOC

25. Individual to 

Contact 

Regarding 

Derivatives 

Trading has 

same 

information as 

Reporting 

Trader

Question 2 Yes Indicates whether 

the contact 

information for 

derivatives trading

is the same as the 

reporting trader

Y = Yes

N = No

cftcBatch/CftcForm40/contact

@isSameAsReporter
May 25, 2016 Page 221 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

26. Last Name of 

Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Yes Surname of the 

contact person for 

the reporting 

trader’s 

derivatives trading

cftcBatch/cftcForm40/contact

@lastName

27. First Name of 

Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Yes Given or first in 

order name of the 

contact person for 

the reporting 

trader’s 

derivatives trading

cftcBatch/cftcForm40/contact

@firstName

28. Middle Name 

of Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Conditional. 

Required if 

information 

available

Middle name of 

the contact person 

for the reporting 

trader’s 

derivatives trading

cftcBatch/cftcForm40/contact 

@middleName

29. Name Suffix 

of Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Conditional. 

Required if 

information 

available

Suffix of the 

contact person for 

the reporting 

trader’s 

derivatives trading

cftcBatch/cftcForm40/contact

@nameSuffix

30. Street 

Address of 

Contact for 

Reporting 

Trader’s 

Question 2 Yes Street Address of 

the contact person 

for the reporting 

trader’s 

derivatives trading

cftcBatch/cftcForm40/contact

@street
May 25, 2016 Page 222 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Derivatives 

Trading

31. Suite Number 

of Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Conditional. 

Required if 

information 

available

Suite number of 

the contact person 

for the reporting 

trader’s 

derivatives trading

cftcBatch/cftcForm40/contact

@suite

32. City of 

Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Yes City of the contact 

person for the 

reporting trader’s 

derivatives trading

cftcBatch/cftcForm40/contact

@city

33. State of 

Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Yes ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/contact

@state

34. Country of 

Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Yes ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/contact

@country

35. Zip/Postal 

Code of 

Contact for 

Question 2 Yes Zip Code or postal 

code of the 

contact person for 

cftcBatch/cftcForm40/contact

@postalCode
May 25, 2016 Page 223 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Reporting 

Trader’s 

Derivatives 

Trading

the reporting 

trader’s 

derivatives trading

36. Phone 

Number of 

Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Yes Phone Number of 

the contact person 

for the reporting 

trader’s 

derivatives trading

cftcBatch/cftcForm40/contact

@telephone

37. Email Address 

of Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Yes Email Address of 

the contact person 

for the reporting 

trader’s 

derivatives trading

cftcBatch/cftcForm40/contact

@email

38. NFA ID of 

Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 2 Conditional. 

Required if 

information 

available

The identification 

number given to 

the contact by the 

National Futures 

Association

cftcBatch/cftcForm40/contact

@NFAIdentifier

CONTACT INFORMATION - RISK MANAGEMENT OPERATIONS CONTACT PERSON

39. Contact for 

Risk 

Management 

Operations of 

Question 3 Yes Indicates whether 

the contact 

information is 

regarding the Risk 

Y = Yes

N = No

cftcBatch/CftcForm40/contact

@isRiskManagementPOC
May 25, 2016 Page 224 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Reporting 

Trader

Management 

Operations of the 

reporting traders 

40. Individual to 

Contact 

Regarding Risk 

Management 

Operations 

has same 

information as 

Reporting

Trader

Question 3 Yes Indicates whether 

the contact 

information for 

risk management 

operations is the 

same as the 

reporting trader

Y = Yes

N = No

cftcBatch/CftcForm40/contact

@isSameAsReporter

41. Last Name of 

Contact for 

Reporting 

Trader’s Risk 

Management 

Operations

Question 3 Yes Surname for 

reportable contact 

person

cftcBatch/cftcForm40/contact

@lastName

42. First Name of 

Contact for 

Reporting 

Trader’s Risk 

Management 

Operations

Question 3 Yes Given or first in 

order name for 

reportable contact 

person

cftcBatch/cftcForm40/contact

@firstName

43. Middle Name 

of Contact for 

Reporting 

Trader’s Risk 

Management 

Question 3 Conditional. 

Required if 

information 

available

Middle name for 

reportable contact 

person

cftcBatch/cftcForm40/contact

@middleName
May 25, 2016 Page 225 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Operations

44. Name Suffix 

of Contact for 

Reporting 

Trader’s 

Derivatives 

Trading

Question 3 Conditional. 

Required if 

information 

available

Suffix for 

reportable contact 

person

cftcBatch/cftcForm40/contact

@nameSuffix

45. Street 

Address of 

Contact for 

Reporting 

Trader’s Risk 

Management 

Operations

Question 3 Yes Street Address for 

reportable contact 

person

cftcBatch/cftcForm40/contact

@street

46. Suite Number 

of Contact for 

Reporting 

Trader’s Risk 

Management 

Operations

Question 3 Conditional. 

Required if 

information 

available

Suite number for 

reportable contact 

person

cftcBatch/cftcForm40/contact

@suite

47. City of 

Contact for 

Reporting 

Trader’s Risk 

Management 

Operations

Question 3 Yes City for a 

reportable contact 

person

cftcBatch/cftcForm40/contact

@city
May 25, 2016 Page 226 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

48. State of 

Contact for 

Reporting 

Trader’s Risk 

Management 

Operations

Question 3 Yes ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/contact

@state

49. Country of 

Contact for 

Reporting 

Trader’s Risk 

Management 

Operations

Question 3 Yes ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/contact

@country

50. Zip/Postal 

Code of 

Contact for 

Reporting 

Trader’s Risk 

Management 

Operations

Question 3 Yes Zip Code or postal 

code for 

reportable contact 

person

cftcBatch/cftcForm40/contact

@postalCode

51. Phone 

Number of 

Contact for 

Reporting 

Trader’s Risk 

Management 

Operations

Question 3 Yes Phone Number for 

reportable contact 

person

cftcBatch/cftcForm40/contact

@telephone

52. Email Address 

of Contact for 

Reporting 

Question 3 Yes Email Address for 

reportable contact 

person

cftcBatch/cftcForm40/contact

@email
May 25, 2016 Page 227 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Trader’s Risk 

Management 

Operations

53. NFA ID of 

Contact for 

Reporting 

Trader’s Risk 

Management 

Operations

Question 3 Conditional. 

Required if 

information 

available

The identification 

number given to 

the contact by the 

National Futures 

Association

cftcBatch/cftcForm40/contact

@NFAIdentifier

CONTACT INFORMATION – INDIVIDUAL RESPONSIBLE FOR INFORMATION ON FORM 40

54. Contact for 

Responsible 

Individual of 

Information 

on Form 40.

Question 4 Yes Indicates whther 

the contact 

information is 

regarding the 

Individual 

Responsible for 

information on 

form40

Y = Yes

N = No

cftcBatch/CftcForm40/contact

@isFormInformationPOC

55. Individual to 

Contact 

Regarding 

Information 

on Form 40 

has same 

information as 

Reporting 

Trader

Question 4 Yes Indicates whether 

the contact 

information for 

information on 

Form 40 is the 

same as the 

reporting trader

Y = Yes

N = No

cftcBatch/CftcForm40/contact

@isSameAsReporter
May 25, 2016 Page 228 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

56. Last Name of 

Contact for 

Reporting 

Trader’s Form 

40 Verification

Question 4 Yes Surname for a 

natural person 

contact for Form 

40 verification for 

the reporting 

trader

cftcBatch/cftcForm40/contact

@lastName

57. First Name of 

Contact for 

Reporting 

Trader’s Form 

40 Verification

Question 4 Yes Given or first in 

order name for a 

natural person 

contact for Form 

40 verification for 

the reporting 

trader

cftcBatch/cftcForm40/contact

@firstName

58. Middle Name 

of Contact for 

Reporting 

Trader’s Form 

40 Verification

Question 4 Conditional. 

Required if 

information 

available

Middle name for a 

natural person 

contact for Form 

40 verification for 

the reporting 

trader

cftcBatch/cftcForm40/contact

@middleName

59. Name Suffix 

of Contact for 

Reporting 

Trader’s Form 

40 Verification

Question 4 Conditional. 

Required if 

information 

available

Suffix for a natural 

person contact for 

Form 40 

verification for the 

reporting trader

cftcBatch/cftcForm40/contact

@nameSuffix

60. Street 

Address of 

Contact for 

Reporting 

Trader’s Form 

Question 4 Yes Street Address of 

the natural person 

contact for the 

reporting trader’s 

Form 40 

cftcBatch/cftcForm40/contact

@street
May 25, 2016 Page 229 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

40 Verification verification

61. Suite Number 

of Contact for 

Reporting 

Trader’s Form 

40 Verification

Question 4 Conditional. 

Required if 

information 

available

Suite number of 

the natural person 

contact for the 

reporting trader’s 

Form 40 

verification

cftcBatch/cftcForm40/contact

@suite

62. City of 

Contact for 

Reporting 

Trader’s Form 

40 Verification

Question 4 Yes City of the natural 

person contact for 

the reporting 

trader’s Form 40 

verification

cftcBatch/cftcForm40/contact

@city

63. State of 

Contact for 

Reporting 

Trader’s Form 

40 Verification

Question 4 Yes ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/contact

@state

64. Country of 

Contact for 

Reporting 

Trader’s Form 

40 Verification

Question 4 Yes ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/cotnact

@country

65. Zip/Postal 

Code of 

Contact for 

Reporting 

Trader’s Form 

Question 4 Yes Zip code or postal 

code of the 

natural person 

contact for the 

reporting trader’s 

cftcBatch/cftcForm40/contact

@postalCode
May 25, 2016 Page 230 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

40 Verification Form 40 

verification

66. Phone 

Number of 

Contact for 

Reporting 

Trader’s Form 

40 Verification

Question 4 Yes Phone number of 

the natural person 

contact for the 

reporting trader’s 

Form 40 

verification

cftcBatch/cftcForm40/contact

@telephone

67. Email Address 

of Contact for 

Reporting 

Trader’s Form 

40 Verification

Question 4 Yes Email Address of 

the natural person 

contact for the 

reporting trader’s 

Form 40 

verification

cftcBatch/cftcForm40/contact

@email

68. NFA ID of 

Contact for 

Reporting 

Trader’s Form 

40 Verification

Question 4 Conditional. 

Required if 

information 

available

The identification 

number given to 

the contact by the 

National Futures 

Association

cftcBatch/cftcForm40/contact

@NFAIdentifier

OMNIBUS ACCOUNT CARRIER INFORMATION

69. Customer 

Omnibus 

Account 

Indicator

Question 5 Yes Indicates whether 

the reporting 

trader has a 

customer omnibus 

account with a 

futures 

commission 

Y = Yes

N = No

cftcBatch/cftcForm40@isOmni

busAccount
May 25, 2016 Page 231 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

merchant, clearing 

member, or 

foreign broker

70. Name of 

Omnibus 

Account 

Carrier

Question 5 Conditional. 

Required if 

isOmnibusAccount

=‘Y’

For traders that 

have a customer 

omnibus 

account(s), the 

name of the 

futures 

commission 

merchant, clearing 

member, or 

foreign broker 

carrying the 

account(s) of the 

reporting trader

cftcBatch/cftcForm40/omnibus

AccountCarrier@legalEntityNa

me

71. Futures 

Commission 

Merchant 

Omnibus 

Carrier 

Indicator

Question 5 Conditional. 

Required if 

isOmnibusAccount

=‘Y’

Indicates whether 

the reporting 

trader has a 

customer omnibus 

account with a 

futures 

commission 

merchant

Y = Yes

N = No

cftcBatch/cftcForm40/omnibus

AccountCarrier@isFCM

72. Clearing 

Member 

Omnibus 

Carrier 

Indicator

Question 5 Conditional. 

Required if 

isOmnibusAccount

=‘Y’

Indicates whether 

the reporting 

trader has a 

customer omnibus 

account with a 

Y = Yes

N = No cftcBatch/cftcForm40/omnibus

AccountCarrier@isCM
May 25, 2016 Page 232 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

clearing member 

73. Foreign 

Broker 

Omnibus 

Carrier 

Indicator

Question 5 Conditional. 

Required if 

isOmnibusAccount

=‘Y’

Indicates whether 

the reporting 

trader has a 

customer omnibus 

account with a 

foreign broker 

Y = Yes

N = No

cftcBatch/cftcForm40/omnibus

AccountCarrier@isFB

74. Foreign 

Government 

Affiliation 

Indicator

Question 6 Yes Indicates whether 

the reporting 

trader is directly or

indirectly affiliated 

with a government 

other than that of 

the United States

Y = Yes

N = No

cftcBatch/cftcForm40@isForie

gnAffiliated

FOREIGN GOVERNMENT AFFILIATION INFORMATION

75. Foreign 

Government 

Name

Question 6 Conditional. 

Required if 

isForiegnAffiliated

=‘Y’

For reporting 

traders affiliated 

with foreign 

government(s), 

the name(s) of 

those foreign 

governments

cftcBatch/cftcForm40/foreignA

ffiliation@countryName

76. Nature of 

Foreign 

Government 

Affiliation(s)

Question 6 Conditional. 

Required if 

isForiegnAffiliated

=‘Y’

An explanation of 

the nature of 

affiliation(s) 

between the 

cftcBatch/cftcForm40/foreignA

ffiliation@relationship
May 25, 2016 Page 233 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

reporting trader

and the foreign 

governments 

listed

NON-DOMESTIC ENTITY INFORMATION

77. Non-Domestic 

Entity 

Indicator

Question 7 Conditional. 

Required if 

entityType =‘LE’

Indicates if the 

reporting trader is 

organized under 

the laws of 

countr(ies) other 

than the United 

States

Y = yes

N = no

cftcBatch/cftcForm40@isForie

gnEntity

78. Country of 

Organization

Question 7 Conditional. 

Required if 

isForiegnEntity

=‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/foregnL

egalRegime@country

OWNERSHIP STRUCTURE OF REPORTING TRADER

PARENT / 10% OR GREATER OWNER OF THE REPORTING TRADER

79. Parent or 

Owner

Indicator

Question 8 Yes,

isParentOrOwner=

‘Y’

Indicates whether 

the reporting 

trader has at least 

one parent/owner

Y = Has at least one 

parent or owner

cftcBatch/cftcForm40/relatedE

ntity@isParentOrOwner

80. Parent 

Company

Question 8 Conditional. 

Required if 

isParentOrOwner 

Indicates if the 

parent of the 

reporting trader is 

Y = yes

N = no

cftcBatch/cftcForm40/relatedE

ntity@isParentCompany
May 25, 2016 Page 234 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

=‘Y’ a Parent Company

81. Parent 

Generation

Question 8 Conditional. 

Required if 

isParentOrOwner=

‘Y’ AND 

isParentCompany=

‘Y’

For each parent of 

the reporting 

trader, indicates 

the hierarchical 

level in the entity 

structure where 

the parent is 

located. Direct 

parents of the 

trader have 

Generation = 1; 

parents of a 

Generation +1 

parent (parents of 

a direct parent) 

have Generation = 

2 and so on.

2 = Parent of a 

parent

1 = Direct parent of a 

reporting trader

cftcBatch/cftcForm40/relatedE

ntity@generation

82. Parent or 

Owner Entity 

Type

Question 8 Conditional. 

Required if 

isParentOrOwner=

‘Y’

Indicates whether 

the parent/owner 

is a legal entity or 

a natural person

LE = legal entity

NP = natural person

cftcBatch/cftcForm40/relatedE

ntity@entityType

IF PARENT/OWNER IS A LEGAL ENTITY

83. Parent or 

Owner Legal 

Entity Name

Question 8 Conditional.

Required if 

entityType = ‘LE’ 

The legal entity 

name of each 

parent/owner of 

cftcBatch/cftcForm40/relatedE

ntity@legalEntityName
May 25, 2016 Page 235 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isParentOrOwner 

=‘Y’

the reporting 

trader (if the 

parent is a legal 

entity)

IF PARENT/OWNER IS A NATURAL PERSON

84. Parent or 

Owner Last 

Name

Question 8 Conditional.

Required if 

entityType = ‘NP’ 

AND 

isParentOrOwner 

=‘Y’

Surname of the 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relatedE

ntity@lastName

85. Parent or 

Owner First 

Name

Question 8 Conditional.

Required if 

entityType = ‘NP’ 

AND 

isParentOrOwner 

=‘Y’

Given or first in 

order name of the 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relatedE

ntity@firstName

86. Parent or 

Owner Middle 

Name

Question 8 Conditional. 

Required if 

information 

available AND If 

entitytype = ‘NP’ 

AND 

isParentOrOwner 

=‘Y’

Middle name of 

the parent/owner 

of the reporting 

trader

cftcBatch/cftcForm40/relatedE

ntity@middleName

87. Parent or 

Owner Name 

Suffix

Question 8 Conditional. 

Required if 

information 

Generational or 

name suffix of the 

parent/owner of 

cftcBatch/cftcForm40/relatedE

ntity@nameSuffix
May 25, 2016 Page 236 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

availableAND If 

entitytype = ‘NP’ 

AND 

isParentOrOwner 

=‘Y’

the reporting 

trader

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

88. Parent or 

Owner Street 

Address

Question 8 Conditional. 

Required if 

isParentOrOwner 

=‘Y’

Street address of 

each 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relatedE

ntity@street

89. Parent or 

Owner Suite 

Number

Question 8 Conditional. 

Required if 

information 

available AND 

isParentOrOwner 

=‘Y’

Suite number of 

each 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relatedE

ntity@suite

90. Parent or 

Owner City

Question 8 Conditional. 

Required if 

isParentOrOwner 

=‘Y’

City of each 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relatedE

ntity@city

91. Parent or 

Owner State

Question 8 Conditional. 

Required if 

isParentOrOwner 

=‘Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/relatedE

ntity@state
May 25, 2016 Page 237 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

92. Parent or 

Owner 

Country

Question 8 Conditional. 

Required if 

isParentOrOwner 

=‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/relatedE

ntity@country

93. Parent or 

Owner 

Zip/Postal 

Code

Question 8 Conditional. 

Required if 

isParentOrOwner 

=‘Y’

Zip code or postal 

code of each 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relatedE

ntity@postalCode

94. Parent or 

Owner Phone 

Number

Question 8 Conditional. 

Required if 

isParentOrOwner 

=‘Y’

Phone Number of 

each 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relatedE

ntity@telephone

95. Parent or 

Owner 

Website

Question 8 Conditional. 

Required if 

information 

available

Website of each 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relatedE

ntity@website

96. Parent or 

Owner Email 

Address

Question 8 Conditional. 

Required if 

isParentOrOwner 

=‘Y’

Email address of 

each 

parent/owner of 

the reporting 

trader

cftcBatch/cftcForm40/relatedE

ntity@email

97. Parent or 

Owner NFA ID

Question 8 Conditional. 

Required if 

information 

available AND 

isParentOrOwner 

=‘Y’

The identification 

number given to 

the parent/owner 

of the reporting 

trader by the 

National Futures 

cftcBatch/cftcForm40/relatedE

ntity@NFAIdentifier
May 25, 2016 Page 238 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Association

98. Parent or 

Owner Legal 

Entity 

Identifier

Question 8 Conditional. 

Required if 

information 

available AND 

isParentOrOwner 

=‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

parent/owner of 

the reporting 

trader by the LEI 

issuer

cftcBatch/cftcForm40/relatedE

ntity@legalEntityIdentifier

99. 10% Owner Question 8 Conditional. 

Required if 

isParentOrOwner 

=‘Y’

Indicates if the 

parent of the 

reporting trader is 

a 10% beneficial 

owner

Y = yes

N = no

cftcBatch/cftcForm40/relatedE

ntity@isPercent_10

IF REPORTING TRADER IS A COMMODITY POOL

100. Commodity 

Pool Indicator

Question 8i-8iii Conditional. 

Required if 

isParentOrOwner 

=‘Y’ AND 

isCommodityPool=

‘Y’

For each 

parent/owner of 

the reporting 

trader that is a 

limited partner, 

shareholder, or 

other similar type 

of pool 

participant, 

indicates if the 

reported party is a 

commodity pool

Y = Yes

N = No

cftcBatch/cftcForm40/relatedE

ntity@isCommodityPool
May 25, 2016 Page 239 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

101. Parent or 

Owner 

Principal 

Indicator

Question 8i Conditional. 

Required if 

isParentOrOwner 

=‘Y’ AND 

isCommodityPool=

‘Y’

For each 

parent/owner of 

the reporting 

trader that is a 

limited partner, 

shareholder, or 

other similar type 

of pool 

participant, 

indicates if the 

reported party is a 

principal of the 

operator of the 

commodity pool

Y = Yes

N = No

cftcBatch/cftcForm40/relatedE

ntity@isPrincipal

102. Parent or 

Owner 

Affiliate 

Indicator

Question 8i Conditional. 

Required if 

isParentOrOwner 

=‘Y’ AND 

isCommodityPool=

‘Y’

For each 

parent/owner of 

the reporting 

trader that is a 

limited partner, 

shareholder, or 

other similar type 

of pool 

participant, 

indicates if the 

reported party is 

an affiliate of the 

operator of the 

commodity pool

Y = yes

N = no

cftcBatch/cftcForm40/relatedE

ntity@isAffiliate
May 25, 2016 Page 240 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

103. Parent or 

Owner

Commodity 

Pool Operator 

Indicator

Question 8ii Conditional. 

Required if 

isParentOrOwner 

=‘Y’ AND 

isCommodityPool=

‘Y’

For each 

parent/owner of 

the reporting 

trader that is a 

limited partner, 

shareholder, or 

other similar type 

of pool 

participant, 

indicates if the 

reported party is 

also a commodity 

pool operator of 

the commodity 

pool

Y = Yes

N = No

cftcBatch/cftcForm40/relatedE

ntity@isCommodityPoolOpera

tor

104. 25% 

Ownership 

Indicator

Question 8iii Conditional. 

Required if 

isParentOrOwner 

=‘Y’ AND 

isCommodityPool=

‘Y’

For each 

parent/owner of 

the reporting 

trader that is a 

limited partner, 

shareholder, or 

other similar type 

of pool participant 

and where the 

operator of the 

commodity pool is 

exempt from 

registration under 

§4.13 of the 

Y = Yes

N = No

cftcBatch/cftcForm40/relatedE

ntity@isPercent_25
May 25, 2016 Page 241 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Commission’s 

regulations, 

indicates if the 

reported party has 

an ownership or 

equity interest of 

25 percent or 

greater in the 

commodity pool

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

INTEREST

105. Subsidiary or 

Owned 

Indicator

Question 9 Yes,

isSubsidiaryOrOwn

ed =‘Y’

Indicates whether 

the reporting 

trader has at least 

one subsidiary

and, separately, all 

persons in which 

the reporting 

trader has a 10 

percent or greater 

ownership interest

Y = Yes

N = No

cftcBatch/cftcForm40/relatedE

ntity@isSubsidiaryOrOwned

106. Subsidiary 

Company

Question 9 Conditional. 

Required if 

isSubsidiaryOrOwn

ed =‘Y’

Indicates if the 

reported party is a 

subsidiary of the 

reporting trader

Y = Yes

N = No

cftcBatch/cftcForm40/relatedE

ntity@isSubsidiaryCompany

107. Subsidiary 

Generation

Question 9 Conditional. 

Required if 

isSubsidiaryOrOwn

ed =‘Y’ AND 

For each 

subsidiary entity 

of the reporting 

trader, indicates 

-2 = Sub of a sub

-1 = Direct sub of a 

reporting trader

cftcBatch/cftcForm40/relatedE

ntity@generation
May 25, 2016 Page 242 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isSubsidiaryCompa

ny=‘Y’

the hierarchical 

level in the entity 

structure where 

the subsidiary 

entity is located. 

Direct subsidiaries 

of the trader have 

Generation = -1; 

subsidiaries of a 

Generation -1 

parent (subs of a 

sub) have 

Generation = - 2 

and so on.

108. Subsidiary or 

Owned Type 

Indicator

Question 9 Conditional. 

Required if 

isSubsidiaryOrOwn

ed =‘Y’

For each reported 

party, indicates if 

the reported party 

is a natural person 

or a legal entity 

LE = Legal Entity

NP = Natural Person

cftcBatch/cftcForm40/relatedE

ntity@entityType

IF SUBSIDIARY OR OWNED ENTITY IS A LEGAL ENTITY

109. Subsidiary or 

Owned Entity 

Name

Question 9 Conditional

Required if 

entityType = ‘LE’ 

AND 

isSubsidiaryOrOwn

ed =‘Y’

Legal name of 

each 

subsidiary/owned 

entity of the 

reporting trader 

cftcBatch/cftcForm40/relatedE

ntity@legalEntityName
May 25, 2016 Page 243 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

IF SUBSIDIARY OR OWNED ENTITY IS A NATURAL PERSON

110. Subsidiary or 

Owned Entity 

Last Name

Question 9 Conditional

Required if 

entityType = ‘NP’ 

AND 

isSubsidiaryOrOwn

ed =‘Y’

Surname of each 

subsidiary/owned 

entity of the 

reporting trader 

cftcBatch/cftcForm40/relatedE

ntity@lastName

111. Subsidiary or 

Owned Entity 

First Name

Question 9 Conditional

Required if 

entityType = ‘NP’ 

AND 

isSubsidiaryOrOwn

ed =‘Y’

Given or first in 

order name of 

each 

subsidiary/owned 

entity of the 

reporting trader 

cftcBatch/cftcForm40/relatedE

ntity@firstName

112. Subsidiary or 

Owned Entity 

Middle Name

Question 9 Conditional

Required if 

available AND 

entityType = ‘NP’ 

AND 

isSubsidiaryOrOwn

ed =‘Y’

Middle name of 

each 

subsidiary/owned 

entity of the 

reporting trader

cftcBatch/cftcForm40/relatedE

ntity@middleName

113. Subsidiary or 

Owned Entity

Name Suffix

Question 9 Conditional

Required if 

available AND 

entityType = ‘NP’ 

AND 

isSubsidiaryOrOwn

ed =‘Y’

Generational or 

name suffix of 

each 

subsidiary/owned 

entity of the 

reporting trader

cftcBatch/cftcForm40/relatedE

ntity@nameSuffix
May 25, 2016 Page 244 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

114. Subsidiary or 

Owned Entity 

Street 

Address

Question 9 Conditional. 

Required if 

isSubsidiaryOrOwn

ed =‘Y’

Street address of 

each 

subsidiary/owned 

entity of the 

reporting trader

cftcBatch/cftcForm40/relatedE

ntity@street

115. Subsidiary or 

Owned Entity 

Suite Number

Question 9 Conditional. 

Required if 

isSubsidiaryOrOwn

ed =‘Y’

Suite number of 

each 

subsidiary/owned 

entity of the 

reporting trader

cftcBatch/cftcForm40/relatedE

ntity@suite

116. Subsidiary or 

Owned Entity 

City

Question 9 Conditional. 

Required if 

isSubsidiaryOrOwn

ed =‘Y’

City of each 

subsidiary/owned 

entity of the 

reporting trader

cftcBatch/cftcForm40/relatedE

ntity@city

117. Subsidiary or 

Owned Entity

State

Question 9 Conditional. 

Required if 

isSubsidiaryOrOwn

ed =‘Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/relatedE

ntity@state

118. Subsidiary or 

Owned Entity

Country

Question 9 Conditional. 

Required if 

isSubsidiaryOrOwn

ed =‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/relatedE

ntity@country

119. Subsidiary or 

Owned Entity 

Zip/Postal 

Question 9 Conditional. 

Required if 

isSubsidiaryOrOwn

Zip code or postal 

code of each 

subsidiary/owned 

cftcBatch/cftcForm40/relatedE

ntity@postalCode
May 25, 2016 Page 245 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Code ed =‘Y’ entity of the 

reporting trader

120. Subsidiary or 

Owned Entity 

Phone 

Number

Question 9 Conditional. 

Required if 

isSubsidiaryOrOwn

ed =‘Y’

Phone number of 

each 

subsidiary/owned 

entity of the 

reporting trader

cftcBatch/cftcForm40/relatedE

ntity@telephone

121. Subsidiary or 

Owned Entity

Website

Question 9 Conditional. 

Required if 

information 

available AND 

isSubsidiaryOrOwn

ed =‘Y’

Website of each 

subsidiary/owned 

entity of the 

reporting trader

cftcBatch/cftcForm40/relatedE

ntity@website

122. Subsidiary or 

Owned Entity

Email Address

Question 9 Conditional. 

Required if 

isSubsidiaryOrOwn

ed =‘Y’

Email address of 

each 

subsidiary/owned 

entity of the 

reporting trader

cftcBatch/cftcForm40/relatedE

ntity@email

123. Subsidiary or 

Owned Entity 

NFA ID

Question 9 Conditional. 

Required if 

information 

available AND

If entitytype = ‘LE’ 

AND 

isSubsidiaryOrOwn

ed =‘Y’

The identification 

number given to 

the 

subsidiary/owned 

entity by the 

National Futures 

Association

cftcBatch/cftcForm40/relatedE

ntity@NFAIdentifier

124. Subsidiary or 

Owned Entity 

Legal Entity 

Question 9 Conditional. 

Required if 

information 

The legal entity 

identifier (LEI) 

assigned to the 

cftcBatch/cftcForm40/relatedE

ntity@legalEntityIdentifier
May 25, 2016 Page 246 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Identifier available AND

If entitytype = ‘LE’ 

AND 

isSubsidiaryOrOwn

ed =‘Y’

subsidiary/owned 

entity by the LEI 

issuer

125. 10% Owned Question 9 Conditional. 

Required if 

isSubsidiaryOrOwn

ed =‘Y’

Indicates if the 

reported party is a

person in which 

the reporting 

trader has a 10% 

or greater 

ownership interest

Y = Yes

N = No

cftcBatch/cftcForm40/relatedE

ntity@isPercent_10

126. Subsidiary 

Principal/Affili

ate Indicator

Question 9i Conditional. 

Required if 

isSubsidiaryOrOwn

ed =‘Y’ 

For each

subsidiary/owned 

entity that is a 

commodity pool 

and for which the 

reporting trader is 

a limited partner, 

shareholder, or 

other pool 

participant, 

indicates if the 

trader is a 

principal of the 

operator of the 

commodity pool

Y = Yes

N = No

cftcBatch/cftcForm40/relatedE

ntity@isPrincipal

127. Subsidiary 

Affiliate 

Question 9i Conditional. 

Required if 

For each 

subsidiary/owned 

Y = Yes

N = No

cftcBatch/cftcForm40/relatedE

ntity@isAffiliate
May 25, 2016 Page 247 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Indicator isSubsidiaryOrOwn

ed =‘Y’

entity that is a 

commodity pool 

and for which the 

reporting trader is 

a limited partner, 

shareholder, or 

other pool 

participant, 

indicates if the 

trader is an 

affiliate of the 

operator of the 

commodity pool

128. Subsidiary 

Commodity 

Pool Operator 

Indicator

Question 9ii Conditional. 

Required if 

isSubsidiaryOrOwn

ed =‘Y’ 

For each reported 

party that is a 

commodity pool 

and for which the 

trader is a limited 

partner, 

shareholder, or 

other pool 

participant, 

indicates if the 

trader is the 

commodity pool 

operator

Y = Yes, operator

N = No, not the 

operator

cftcBatch/cftcForm40/relatedE

ntity@isCommodityPoolOpera

tor

129. Subsidiary 

25% 

Ownership 

Question 9iii Conditional. 

Required if 

isSubsidiaryOrOwn

For each reported 

party that is a 

commodity pool 

Y = 25% or greater 

interest

N = not 25% or 

cftcBatch/cftcForm40/relatedE

ntity@isPercent_25
May 25, 2016 Page 248 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Indicator ed =‘Y’ and for which the 

trader is a limited 

partner, 

shareholder, or 

other pool 

participant, and 

for which the 

operator of the 

commodity pool is 

exempt from 

registration under 

§4.13 of the 

Commission’s 

regulations, 

indicates if the 

trader has an 

ownership or 

equity interest of 

25 percent or 

greater in the 

commodity pool

greater interest

CONTROL OF TRADING - PERSONS OTHER THAN REPORTING TRADER

130. Controller 

Indicator

Question 10 Yes List all persons 

outside of the 

reporting trader 

that control some 

or all of the 

derivatives trading 

Y=Yes

N=No

cftcBatch/cftcForm40/relatedE

ntity@isAlternateTradeControl
May 25, 2016 Page 249 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

of the reporting 

trader – an 

“alternate trade 

controller”

131. Alternate 

Trade 

Controller

Type Indicator

Question 10 Conditional. 

Required if 

isAlternateTradeC

ontrol =‘Y’

For each alternate 

trade controller, 

indicates if the 

person is a natural 

person or legal 

entity

LE = Legal Entity

NP = Natural Person

cftcBatch/cftcForm40/relatedE

ntity@entityType

IF ALTERNATE TRADE CONTROLLER IS A LEGAL ENTITY

132. Alternate 

Trade 

Controller 

Legal Entity 

Name

Question 10 Conditional. 

Required if 

entityType = ‘LE’ 

AND 

isAlternateTradeC

ontrol =‘Y’

Legal name of 

each alternate 

trade controller

cftcBatch/cftcForm40/relatedE

ntity@legalEntityName

IF ALTERNATE TRADE CONTROLLER IS A NATURAL PERSON

133. Alternate 

Trade 

Controller

Last Name

Question 10 Conditional. 

Required

If entityType = ‘NP’ 

AND 

isAlternateTradeC

ontrol =‘Y’

Surname of each 

alternate trade 

controller

cftcBatch/cftcForm40/relatedE

ntity@lastName

134. Alternate 

Trade 

Question 10 Conditional,

If entityType = ‘NP’ 

Given or first in 

order name of 

cftcBatch/cftcForm40/relatedE

ntity@firstName
May 25, 2016 Page 250 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Controller 

First Name

AND 

isAlternateTradeC

ontrol =‘Y’

each alternate 

trade controller

135. Alternate 

Trade 

Controller 

Middle Name

Question 10 Conditional (not 

required),

If entityType = ‘NP’ 

AND 

isAlternateTradeC

ontrol =‘Y’

Middle name of 

each alternate 

trade controller

cftcBatch/cftcForm40/relatedE

ntity@middleName

136. Alternate 

Trade 

Controller 

Name Suffix

Question 10 Conditional (not 

required),

If entityType = ‘NP’ 

isAlternateTradeC

ontrol =‘Y’

Generational or 

name suffix of 

each alternate 

trade controller

cftcBatch/cftcForm40/relatedE

ntity@nameSuffix

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

137. Alternate 

Trade 

Controller 

Street 

Address

Question 10 Conditional. 

Required

If 

isAlternateTradeC

ontrol =‘Y’

Street address of 

each alternate 

trade controller

cftcBatch/cftcForm40/relatedE

ntity@street

138. Alternate 

Trade 

Controller 

Suite Number

Question 10 Conditional. 

Required

If 

isAlternateTradeC

ontrol =‘Y’

Suite number of 

each alternate 

trade controller

cftcBatch/cftcForm40/relatedE

ntity@suite

139. Alternate 

Trade 

Controller City

Question 10 Conditional. 

Required

If 

City of each 

alternate trade 

controller

cftcBatch/cftcForm40/relatedE

ntity@city
May 25, 2016 Page 251 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isAlternateTradeC

ontrol =‘Y’

140. Alternate 

Trade 

Controller 

State

Question 10 Conditional. 

Required

If 

isAlternateTradeC

ontrol =‘Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/relatedE

ntity@state

141. Alternate 

Trade 

Controller 

Country

Question 10 Conditional. 

Required

If 

isAlternateTradeC

ontrol =‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/relatedE

ntity@country

142. Alternate 

Trade 

Controller 

Zip/Postal 

Code

Question 10 Conditional. 

Required

If 

isAlternateTradeC

ontrol =‘Y’

Zip code or postal 

code of each 

alternate trade 

controller

cftcBatch/cftcForm40/relatedE

ntity@postalCode

143. Alternate 

Trade 

Controller 

Phone 

Number

Question 10 Conditional. 

Required

If 

isAlternateTradeC

ontrol =‘Y’

Phone number of 

each alternate 

trade controller

cftcBatch/cftcForm40/relatedE

ntity@telephone

144. Alternate 

Trade 

Controller 

Website

Question 10 Conditional. 

Required

If information 

avaliable AND 

isAlternateTradeC

ontrol =‘Y’

Website of each 

alternate trade 

controller

cftcBatch/cftcForm40/relatedE

ntity@website
May 25, 2016 Page 252 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

145. Alternate 

Trade 

Controller 

Email Address

Question 10 Conditional. 

Required if 

isAlternateTradeC

ontrol =‘Y’

Email address of 

each alternate 

trade controller

cftcBatch/cftcForm40/relatedE

ntity@email

146. Alternate 

Trade 

Controller 

NFA ID

Question 10 Conditional. 

Required if 

information 

available AND 

isAlternateTradeC

ontrol =‘Y’

The identification 

number given to 

the alternate trade 

controller by the 

National Futures 

Association

cftcBatch/cftcForm40/relatedE

ntity@NFAIdentifier

147. Alternate 

Trade 

Controller 

Legal Entity 

Identifier

Question 10 Conditional. 

Required if 

information 

available AND 

isAlternateTradeC

ontrol =‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

alternate trade 

controller by the 

LEI issuer

cftcBatch/cftcForm40/relatedE

ntity@legalEntityIdentifier

148. Alternate 

Trade 

Controller 

Some/All 

Indicator

Question 10 Conditional. 

Required If 

isAlternateTradeC

ontrol =‘Y’

Indicates if the 

alternate trade 

controller controls 

some or all of the 

derivatives trading 

of the reporting 

trader

S = Some

A = All

cftcBatch/cftcForm40/relatedE

ntity@toWhatDegree

PERSONS FOR WHICH REPORTING TRADER CONTROLS TRADING

149. Controlee 

Indicator

Question 11 Yes List all persons for 

which the 

reporting trader 

controls some or 

Y=Yes

N=No

cftcBatch/cftcForm40/relatedE

ntity@isTradeControlFor
May 25, 2016 Page 253 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

all of the 

derivatives trading 

(a “controlee”)

150. Controlee 

Type Indicator

Question 11 Conditional. 

Required if 

isTradeControlFor

=‘Y’

For each 

controlee, 

indicates whether 

the person is a 

legal entity or 

natural person

LE = Legal Entity

NP = Natural Person

cftcBatch/cftcForm40/relatedE

ntity@entityType

IF CONTROLEE IS A LEGAL ENTITY

151. Controlee 

Legal Entity 

Name

Question 11 Conditional. 

Required if 

entityType = ‘LE’ 

AND 

isTradeControlFor

=‘Y’

Legal name of 

each controlee

cftcBatch/cftcForm40/relatedE

ntity@legalEntityName

IF CONTROLEE IS A NATURAL PERSON

152. Controlee Last 

Name

Question 11 Conditional. 

Required if 

entityType = ‘NP’ 

AND 

isTradeControlFor

=‘Y’

Surname of each 

controlee

cftcBatch/cftcForm40/relatedE

ntity@lastName

153. Controlee 

First Name

Question 11 Conditional. 

Required if 

entityType = ‘NP’ 

Given or first in 

order name of 

each controlee

cftcBatch/cftcForm40/relatedE

ntity@firstName
May 25, 2016 Page 254 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

AND 

isTradeControlFor

=‘Y’

154. Controlee 

Middle Name

Question 11 Conditional. 

Required if 

information 

avaliable AND 

entityType = ‘NP’ 

AND 

isTradeControlFor

=‘Y’

Middle name of 

each controlee

cftcBatch/cftcForm40/relatedE

ntity@middleName

155. Controlee 

Name Suffix

Question 11 Conditional. 

Required if 

information 

avaliable AND 

entityType = ‘NP’ 

AND 

isTradeControlFor

=‘Y’

Generational or 

name suffix of 

each controlee

cftcBatch/cftcForm40/relatedE

ntity@nameSuffix

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

156. Controlee 

Street 

Address

Question 11 Conditional. 

Required if 

isTradeControlFor

=‘Y’

Street address of 

each controlee

cftcBatch/cftcForm40/relatedE

ntity@street

157. Controlee 

Suite Number

Question 11 Conditional. 

Required if 

information 

avaliable AND 

Suite number of 

each controlee

cftcBatch/cftcForm40/relatedE

ntity@suite
May 25, 2016 Page 255 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isTradeControlFor

=‘Y’

158. Controlee City Question 11 Conditional. 

Required if 

isTradeControlFor

=‘Y’

City of each 

controlee

cftcBatch/cftcForm40/relatedE

ntity@city

159. Controlee 

State

Question 11 Conditional. 

Required if 

isTradeControlFor

=‘Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/relatedE

ntity@state

160. Controlee 

Country

Question 11 Conditional. 

Required if 

isTradeControlFor

=‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/relatedE

ntity@country

161. Controlee 

Zip/Postal 

Code

Question 11 Conditional. 

Required if 

isTradeControlFor

=‘Y’

Zip code or postal 

code of each 

controlee

cftcBatch/cftcForm40/relatedE

ntity@postalCode

162. Controlee 

Phone 

Number

Question 11 Conditional. 

Required if 

isTradeControlFor

=‘Y’

Phone number of 

each controlee

cftcBatch/cftcForm40/relatedE

ntity@telephone

163. Controlee 

Website

Question 11 Conditional. 

Required if 

Information 

available AND 

isTradeControlFor

Website of each 

controlee

cftcBatch/cftcForm40/relatedE

ntity@website
May 25, 2016 Page 256 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

=‘Y’

164. Controlee 

Email Address

Question 11 Conditional. 

Required if 

isTradeControlFor

=‘Y’

Email address of 

each controlee

cftcBatch/cftcForm40/relatedE

ntity@email

165. Controlee NFA 

ID

Question 11 Conditional. 

Required

If Information 

Avaliable AND 

isTradeControlFor

=‘Y’

The identification 

number given to 

the controlee by 

the National 

Futures 

Association

cftcBatch/cftcForm40/relatedE

ntity@NFAIdentifier

166. Controlee 

Legal Entity 

Identifier

Question 11 Conditional. 

Required

If Information 

Avaliable AND 

isTradeControlFor

=‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

controlee by the 

LEI issuer

cftcBatch/cftcForm40/relatedE

ntity@legalEntityIdentifier

167. Controlee 

Some/All 

Indicator

Question 11 Conditional. 

Required

If 

isTradeControlFor

=‘Y’

Indicates if the 

reporting trader 

controls some or 

all of the 

derivatives trading 

of the controlee

S = Some

A = All

cftcBatch/cftcForm40/relatedE

ntity@toWhatDegree

OTHER PERSON THAT INFLUENCES OR EXERCISES AUTHORITY OVER TRADING 

168. Influencer/ 

Authority 

Question 12 Yes List any other 

person(s) that 

Y=Yes

N=No

cftcBatch/cftcForm40/relatedE

ntity@isOtherInfluence
May 25, 2016 Page 257 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Indicator directly or 

indirectly 

influence, or 

exercise authority 

over, some or all 

of the trading of 

the reporting 

trader, but who do 

not exercise 

“control” as 

defined in the OCR 

Final Rule (a 

“Reportable 

Influencer”)

169. Influencer/Au

thority Type 

Indicator

Question 12 Conditional. 

Required if 

isOtherInfluence=‘

Y’

For each 

reportable 

influencer, 

indicates whether 

the person is legal 

entity or natural 

person

LE = Legal Entity

NP = Natural Person

cftcBatch/cftcForm40/relatedE

ntity@entityType

IF REPORTABLE INFLUENCER IS A LEGAL ENTITY

170. Influencer/Au

thority Legal 

Entity Name

Question 12 Conditional. 

Required if 

entityType=‘LE’ 

AND 

isOtherInfluence=‘

Y’

Legal name of 

each reportable 

influencer

cftcBatch/cftcForm40/relatedE

ntity@legalEntityName
May 25, 2016 Page 258 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

IF REPORTABLE INFLUENCER IS A NATURAL PERSON

171. Influencer/Au

thority Last 

Name

Question 12 Conditional. 

Required if 

entityType=‘NP’ 

AND 

isOtherInfluence=‘

Y’

Surname of each 

reportable 

influencer

cftcBatch/cftcForm40/relatedE

ntity@lastName

172. Influencer/Au

thority First 

Name

Question 12 Conditional. 

Required if 

entityType=‘NP’ 

AND 

isOtherInfluence=‘

Y’

Given or first in 

order name of 

each reportable 

influencer

cftcBatch/cftcForm40/relatedE

ntity@firstName

173. Influencer/Au

thority Middle 

Name

Question 12 Conditional. 

Required

If Information 

Avaliable AND 

entityType=‘NP’ 

AND 

isOtherInfluence=‘

Y’

Middle name of 

each reportable 

influencer

cftcBatch/cftcForm40/relatedE

ntity@middleName

174. Influencer/Au

thority Name 

Suffix

Question 12 Conditional. 

Required

If Information 

Avaliable AND 

entityType=‘NP’ 

AND 

isOtherInfluence=‘

Generational or 

name suffix of 

each reportable 

influencer

cftcBatch/cftcForm40/relatedE

ntity@nameSuffix
May 25, 2016 Page 259 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Y’

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

175. Influencer/Au

thority Street 

Address

Question 12 Conditional. 

Required if 

isOtherInfluence=‘

Y’

Street address of 

each reportable 

influencer

cftcBatch/cftcForm40/relatedE

ntity@street

176. Influencer/Au

thority Suite 

Number

Question 12 Conditional. 

Required

If Information 

Avaliable AND 

isOtherInfluence=‘

Y’

Suite number of 

each reportable 

influencer

cftcBatch/cftcForm40/relatedE

ntity@suite

177. Influencer/Au

thority City

Question 12 Conditional. 

Required if 

isOtherInfluence=‘

Y’

City of each 

reportable 

influencer

cftcBatch/cftcForm40/relatedE

ntity@city

178. Influencer/Au

thority State

Question 12 Conditional. 

Required if 

isOtherInfluence=‘

Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/relatedE

ntity@state

179. Influencer/Au

thority 

Country

Question 12 Conditional. 

Required if 

isOtherInfluence=‘

Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/relatedE

ntity@country
May 25, 2016 Page 260 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

180. Influencer/Au

thority 

Zip/Postal 

Code

Question 12 Conditional. 

Required if 

isOtherInfluence=‘

Y’

Zip code or postal 

code of each 

reportable 

influencer

cftcBatch/cftcForm40/relatedE

ntity@postalCode

181. Influencer/Au

thority Phone 

Number

Question 12 Conditional. 

Required if 

isOtherInfluence=‘

Y’

Phone number of 

each reportable 

influencer

cftcBatch/cftcForm40/relatedE

ntity@telephone

182. Influencer/Au

thority 

Website

Question 12 Conditional. 

Required if 

Information 

Avalaible AND 

isOtherInfluence=‘

Y’

URL for the 

website of each 

reportable 

influencer

cftcBatch/cftcForm40/relatedE

ntity@website

183. Influencer/Au

thority Email 

Address

Question 12 Conditional. 

Required if 

isOtherInfluence=‘

Y’

Email address of 

each reportable 

influencer

cftcBatch/cftcForm40/relatedE

ntity@email

184. Influencer/Au

thority NFA ID

Question 12 Conditional. 

Required If 

Information 

available AND 

isOtherInfluence=‘

Y’

The identification 

number given to 

the 

influencer/authori

ty by the National 

Futures 

Association

cftcBatch/cftcForm40/relatedE

ntity@NFAIdentifier

185. Influencer/Au

thority Legal 

Entity 

Identifier

Question 12 Conditional. 

Required

If Information 

available AND 

The legal entity 

identifier (LEI) 

assigned to the 

influencer/authori

cftcBatch/cftcForm40/relatedE

ntity@legalEntityIdentifier
May 25, 2016 Page 261 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

isOtherInfluence=‘

Y’

ty by the LEI issuer

186. Influencer/Au

thority 

Some/All 

Indicator

Question 12 Conditional. 

Required If 

isOtherInfluence=‘

Y’

Indicates if the 

identified party 

influences or 

exercises authority 

over some or all of 

the derivatives 

trading of the 

reporting trader

S = Some

A = All

cftcBatch/cftcForm40/relatedE

ntity@toWhatDegree

EXPRESS OR IMPLIED AGREEMENT - CONTACT INFORMATION

187. Derivatives 

Trading 

Agreement 

Indicator

Question 13 Yes Indicates if some 

or all of the 

derivatives trading 

of the reporting 

trader is subject to 

an express or 

implied 

agreement/unders

tanding with any 

person(s) not 

already listed.

Y = Yes

N = No

cftcBatch/cftcForm40/relatedE

ntity@isOtherAgreement

188. Reportable 

Party Entity 

Type

Question 13 Conditional. 

Required if 

isOtherAgreement

=‘Y’

For each 

reportable party, 

indicates such 

person is a legal 

entity or natural 

LE = Legal Entity

NP = Natural Person

cftcBatch/cftcForm40/relatedE

ntity@entityType
May 25, 2016 Page 262 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

person

IF REPORTABLE PARTY IS A LEGAL ENTITY

189. Reportable 

Party Legal 

Entity Name

Question 13 Conditional. 

Required if 

entityType=‘LE’ 

AND 

isOtherAgreement

=‘Y’

Legal name of 

each reportable 

party

cftcBatch/cftcForm40/relatedE

ntity@legalEntityName

IF REPORTABLE PARTY IS A NATURAL PERSON

190. Reportable 

Party Last 

Name

Question 13 Conditional. 

Required if 

entityType=‘NP’ 

AND 

isOtherAgreement

=‘Y’

Surname of each 

reportable party

cftcBatch/cftcForm40/relatedE

ntity@lastName

191. Reportable 

Party First 

Name

Question 13 Conditional. 

Required if 

entityType=‘NP’ 

AND 

isOtherAgreement

=‘Y’

Given or first in 

order name of 

each reportable 

party

cftcBatch/cftcForm40/relatedE

ntity@firstName

192. Reportable 

Party Middle 

Name

Question 13 Conditional. 

Required

If Information 

Avaliable AND 

Middle name of 

each reportable 

party

cftcBatch/cftcForm40/relatedE

ntity@middleName
May 25, 2016 Page 263 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

entityType=‘NP’ 

AND 

isOtherAgreement

=‘Y’

193. Reportable 

Party Name 

Suffix

Question 13 Conditional. 

Required

If Information 

Avaliable AND 

entityType=‘NP’ 

AND 

isOtherAgreement

=‘Y’

Generational or 

name suffix of 

each reportable 

party

cftcBatch/cftcForm40/relatedE

ntity@nameSuffix

FOR BOTH LEGAL ENTITIES AND NATURAL PERSONS

194. Reportable 

Party Street 

Address

Question 13 Conditional. 

Required if 

isOtherAgreement

=‘Y’

Street address of 

each reportable 

party

cftcBatch/cftcForm40/relatedE

ntity@street

195. Reportable 

Party Suite 

Number

Question 13 Conditional. 

Required

If Information 

Avaliable AND 

isOtherAgreement

=‘Y’

Suite number of 

each reportable 

party

cftcBatch/cftcForm40/relatedE

ntity@suite

196. Reportable 

Party City

Question 13 Conditional. 

Required if 

isOtherAgreement

=‘Y’

City of each 

reportable party

cftcBatch/cftcForm40/relatedE

ntity@city
May 25, 2016 Page 264 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

197. Reportable 

Party State

Question 13 Conditional. 

Required if 

isOtherAgreement

=‘Y’

ISO 3166-2 

geopolitical 

subdivision code; 

1-3 alphanumeric 

characters

cftcBatch/cftcForm40/relatedE

ntity@state

198. Reportable 

Party Country

Question 13 Conditional. 

Required if 

isOtherAgreement

=‘Y’

ISO 3166-1 

alpha-2 country 

code

cftcBatch/cftcForm40/relatedE

ntity@country

199. Reportable 

Party 

Zip/Postal 

Code

Question 13 Conditional. 

Required if 

isOtherAgreement

=‘Y’

Zip Code or postal 

code of each 

reportable party

cftcBatch/cftcForm40/relatedE

ntity@postalCode

200. Reportable 

Party Phone

Number

Question 13 Conditional. 

Required if 

isOtherAgreement

=‘Y’

Phone number of 

each reportable 

party

cftcBatch/cftcForm40/relatedE

ntity@telephone

201. Reportable 

Party Website

Question 13 Conditional. 

Required if 

Information 

Avaliable AND 

isOtherAgreement

=‘Y’

URL for the 

website of each 

reportable party

cftcBatch/cftcForm40/relatedE

ntity@website

202. Reportable 

Party Email 

Address

Question 13 Conditional. 

Required if 

isOtherAgreement

=‘Y’

Email address of 

each reportable 

party

cftcBatch/cftcForm40/relatedE

ntity@email
May 25, 2016 Page 265 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

203. Reportable 

Party NFA ID

Question 13 Conditional. 

Required if 

Information 

avaliable 

isOtherAgreement

=‘Y’

The identification 

number given to 

the reportable 

party by the 

National Futures 

Association

cftcBatch/cftcForm40/relatedE

ntity@NFAIdentifier

204. Reportable 

Party Legal 

Entity 

Identifier

Question 13 Conditional. 

Required if 

Information 

avaliable 

isOtherAgreement

=‘Y’

The legal entity 

identifier (LEI) 

assigned to the 

reportable party 

by the LEI issuer

cftcBatch/cftcForm40/relatedE

ntity@legalEntityIdentifier

205. Reportable 

Party 

Some/All 

Indicator

Question 13 Conditional. 

Required if 

isOtherAgreement

=‘Y’

Indicates if some 

or all of the 

reporting trader’s 

derivatives trading 

is subject to an 

agreement or 

understanding 

with the 

reportable party

S = Some

A = All

cftcBatch/cftcForm40/relatedE

ntity@toWhatDegree
May 25, 2016 Page 266 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

THE FOLLOWING FORM 40 QUESTIONS REFERENCE DEFINITIONS AND SUPPLEMENTAL LISTS THAT APPEAR IN THE FORM 40 

ATTACHED AS AN APPENDIX TO THE OCR FINAL RULE23

206. Commodity 

Index Trading 

Indicator 

(Paragraph A)

Question 14i Yes Indicates if the 

reporting trader is 

engaged in 

Commodity Index 

Trading as defined 

in Paragraph A of 

the CIT definition

Y = Yes

N = No

cftcBatch/cftcForm40@isCom

modityIndexTrader_investor

207. Commodity 

Index Trading 

Indicator 

(Paragraph B)

Question 14ii Yes Indicates if the 

reporting trader is 

engaged in 

Commodity Index 

Trading as defined 

in Paragraph B of 

the CIT definition

Y = Yes

N = No

cftcBatch/cftcForm40@isCom

modityIndexTrader_manager

208. CIT 

Long/Short 

Question 14iia Conditional. 

Required if 

Indicates if the 

reporting trader 

L = Long

S = Short

cftcBatch/cftcForm40@comm

odityIndexExposure

 

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

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

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

26789a.pdf
May 25, 2016 Page 267 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Exposure 

Indicator

isCommodityIndex

Trader_manager = 

‘Y’

[that is engaged in 

Commodity Index 

Trading as defined 

in Paragraph B and 

with respect to 

commodities in 

Supplemental List 

II] is pursuing 

aggregate long or 

short exposure 

with respect to 

such commodities 

or commodity 

groups. It is not 

necessary to 

respond to this 

question with 

respect to CIT that 

tracks the 

performance of 

multiple unrelated 

commodities or 

commodity groups 

(e.g., an 

investment in an 

exchange-traded 

fund that tracks 

the performance 

of an index 
May 25, 2016 Page 268 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

representing 

commodities 

spanning multiple 

commodity 

groups).

209. Commodity 

Index Trading 

Start Date

Question 14iia Conditional.Requir

ed if 

isCommodityIndex

Trader_manager = 

‘Y’

OR

isCommodityIndex

Trader_investor = 

‘Y’

For traders who 

are engaged in 

Commodity Index 

Trading as defined 

in Paragraph A or 

B of the CIT 

definition, 

indicates the 

month and year in 

which the trader 

first became 

engaged in such 

trading.

YYYY-MM-DD cftcBatch/cftcForm40@initiate

dCommodityIndexTrading

210. Swap Dealer 

Indicator

Question 15 Yes Indicates if the 

reporting trader is 

a swap dealer as 

defined in § 

1.3(ppp) of 

regulations under 

the Commodity 

Exchange Act

Y = Yes

N = No

cftcBatch/cftcForm40@isSwap

Dealer

211. Major Swap 

Participant 

Indicator

Question 16 Yes Indicates if the 

reporting trader is 

a Major Swap 

Y = Yes

N = No

cftcBatch/cftcForm40@isSwap

Participant
May 25, 2016 Page 269 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

Participant, as 

defined in § 

1.3(qqq) of 

regulations under 

the Commodity

Exchange Act

212. Business 

Sector

Question 17 No Each business 

sector and 

subsector that 

pertains to the 

business activities 

or occupation of 

the reporting 

trader 

See Appendix B of 

this Technical 

Document –

Supplemental List I 

for valid submission 

codes

cftcBatch/cftcForm40/natureO

fBusiness@businessSector

213. Business 

Subsector

Question 17 No Each business 

sector and 

subsector that 

pertains to the 

business activities 

or occupation of 

the reporting 

trader 

See Appendix B of 

this Technical 

Document –

Supplemental List I 

for valid submission 

codes

cftcBatch/cftcForm40/natureO

fBusiness@businessSubSector

214. Other 

Description –

Business 

Subsector

Question 17 No Description of the 

subsector in the 

event that “Other” 

is selected.

cftcBatch/cftcForm40/natureO

fBusiness@otherDescription

215. Primary 

Subsector

Question 17 Conditional. 

Required if 

businessSubSector 

In the event that 

more than one 

(sub)sector is 

Y=Yes

N=No

cftcBatch/cftcForm40/natureO

fBusiness@isPrimary
May 25, 2016 Page 270 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

is not null. listed, an 

indication of the 

(sub)sector 

primarily describes 

the nature of the 

reporting trader’s 

business

216. Commodities 

Traded

Question 18 No Each individual 

commodity or 

commodity group 

that the reporting 

trader presently 

trades or expects 

to trade in the 

near future in 

derivatives 

markets (There is a 

supplementary list 

to select from in 

the form)

See Appendix B of 

this Technical 

Document –

Supplemental List II 

for valid submission 

codes

cftcBatch/cftcForm40/natureO

fBusiness@commodity

217. Commodity 

Groups 

Traded

Question 18 No Each individual 

commodity or 

commodity group 

that the reporting 

trader presently 

trades or expects 

to trade in the 

near future in 

derivatives 

See Appendix B of 

this Technical 

Document –

Supplemental List II 

for valid submission 

codes

cftcBatch/cftcForm40/natureO

fBusiness@commodityGroup
May 25, 2016 Page 271 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

markets (There is a 

supplementary list 

to select from in 

the form)

218. Other 

Description –

Commodity/C

ommodity 

Group Traded

Question 18 No A description of 

the commodity 

group and 

commodity in the 

event that the 

user selects 

“Other”.

cftcBatch/cftcForm40/natureO

fBusiness@otherDescription

219. Individual 

Commodity 

Business 

Purpose

Question 19 Conditional. 

Required if 

Individual 

Commodity is 

selected, then 

business purpose 

must be added.

For each listed 

individual 

commodity, 

indicates the 

business purposes 

for which the 

reporting trader 

uses derivatives 

markets (There is a 

supplementary list 

to select from in 

the form)

See Appendix B of 

this Technical 

Document –

Supplemental List III 

for valid submission 

codes

cftcBatch/cftcForm40/natureO

fBusiness@businessPurpose

220. Individual 

Commodity 

Predominant 

Business 

Purpose 

Indicator

Question 19 ConditionalRequir

ed if 

businessPurpose 

is not null.

If the reporting 

trader has more 

than one business 

purpose for 

trading in an 

individual 

Y=Yes

N=No

cftcBatch/cftcForm40/natureO

fBusiness@isPrimary
May 25, 2016 Page 272 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

commodity, 

indicates the 

predominant 

business purpose24

221. Reporting 

Trader

Authorization 

Indicator

Question 20 Yes Indicates if the 

submitter is duly 

authorized by the 

reporting trader to 

provide the 

information and 

representations 

submitted on this 

Form 40, and that 

information and 

representations 

are true and 

correct

Y = authorized

N = not authorized

cftcBatch/cftcForm40/contact

@isAuthorizedRepresentative

222. Authorized 

Representativ

e Last Name

Question 20 Yes Surname of the 

authorized 

representative

cftcBatch/cftcForm40/contact

@lastName

223. Authorized 

Representativ

e First Name

Question 20 Yes Given or first in 

order name of the 

authorized 

cftcBatch/cftcForm40/contact

@firstName

 

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

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

purpose deemed predominant by a reporting trader. 
May 25, 2016 Page 273 of 291

Data 

Element

Form 40 

Question 

Number

Required CFTC 

Description, 

Purpose or 

Instruction

Valid Values XML

representative

224. Authorized 

Representativ

e Middle 

Name

Question 20 Yes Middle name of 

the authorized 

representative

cftcBatch/cftcForm40/contact

@middleName

225. Authorized 

Representativ

e Name Suffix

Question 20 Yes Generation or 

name suffix of the 

authorized 

representative

cftcBatch/cftcForm40/contact

@nameSuffix

226. Authorized 

Representativ

e Position

Question 20 Yes Job position of the 

authorized 

representative

cftcBatch/cftcForm40/contact

@titleOrPosition

227. Authorized 

Representativ

e Submitted 

on behalf of

Question 20 Yes Reporting Trader 

Name 40 was 

submitted on 

behalf of

cftcBatch/cftcForm40@onBeh

alfOf

228. Date of 

Submission

Question 20 Yes Date [indicated by 

the authorized 

representative] 

that the form was 

submitted to CFTC

cftcBatch/cftcForm40@submit

Date
Page 274 of 291

Appendix A: SFTP Account Registration 

To register an SFTP account:

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

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

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

clicking Agree.
May 25, 2016 Page 275 of 291
May 25, 2016 Page 276 of 291

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

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

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

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

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

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

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

• Fax – Not required

Once you have submitted the data, the request will be passed to CFTC’s Office of Data and Technology for approval.
May 25, 2016 Page 277 of 291

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

that must be used for all data submissions made by this company to the CFTC.

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

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

email and click Confirm.
May 25, 2016 Page 278 of 291

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

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

new user ID and instructions on converting your FTP Account to a Secure FTP Account. 
May 25, 2016 Page 279 of 291

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

FTPSupport@cftc.gov. 

You will then receive the second email, which will contain your new password for the FTP account.
May 25, 2016 Page 280 of 291

Appendix B: Supplemental Lists

Supplemental List I: List of Business Sectors and Subsectors25

Business Sector Name Business Sector 

Code

Business Subsector Name Business Subsector 

Code

Agriculture and Forestry SA Oilseed Farming SSA

Agriculture and Forestry SA Grain Farming SSB

Agriculture and Forestry SA Fruit and Tree Nut Farming SSC

Agriculture and Forestry SA Other Crop Farming (Specify) SSD

Agriculture and Forestry SA Cattle Ranching and Farming SSE

Agriculture and Forestry SA Hog and Pig Farming SSF

Agriculture and Forestry SA Poultry and Egg Production SSG

Agriculture and Forestry SA Sheep and Goat Farming SSH

Agriculture and Forestry SA Other Animal Production SSI

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

 

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

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

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

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

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

26789a.pdf
May 25, 2016 Page 281 of 291

Business Sector Name Business Sector 

Code

Business Subsector Name Business Subsector 

Code

Agriculture and Forestry SA Cooperative SSK

Agriculture and Forestry SA Other (Specify) SSL

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

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

Mining, Oil and Natural Gas Extraction SB Coal Mining SSO

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

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

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

Utilities SC Utility/Cooperative SSS

Utilities SC Electric Power Generation SST

Utilities SC Local Distribution Company SSU

Utilities SC Natural Gas Distribution SSV

Utilities SC Other (Specify) SSW

Construction SD Building Construction SSX

Construction SD Heavy and Civil Engineering Construction SSY

Construction SD Other (Specify) SSZ

Manufacturing, Refining and Processing SE Animal Food Manufacturing SSAA

Manufacturing, Refining and Processing SE Grain Milling SSAB

Manufacturing, Refining and Processing SE Oilseed Milling SSAC
May 25, 2016 Page 282 of 291

Business Sector Name Business Sector 

Code

Business Subsector Name Business Subsector 

Code

Manufacturing, Refining and Processing SE Sugar and Confectionery Product 

Manufacturing

SSAD

Manufacturing, Refining and Processing SE Fruit and Vegetable Preserving and Specialty 

Food Manufacturing

SSAE

Manufacturing, Refining and Processing SE Dairy Product Manufacturing SSAF

Manufacturing, Refining and Processing SE Animal Slaughtering and Processing SSAG

Manufacturing, Refining and Processing SE Bakeries SSAH

Manufacturing, Refining and Processing SE Other Food Manufacturing SSAI

Manufacturing, Refining and Processing SE Beverage Manufacturing Textile Mills SSAJ

Manufacturing, Refining and Processing SE Textile Product Mills SSAK

Manufacturing, Refining and Processing SE Apparel Manufacturing SSAL

Manufacturing, Refining and Processing SE Wood Product Manufacturing SSAM

Manufacturing, Refining and Processing SE Paper Manufacturing SSAN

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

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

Manufacturing, Refining and Processing SE Renewable Fuels Manufacturing SSAQ

Manufacturing, Refining and Processing SE Petrochemical/Chemical Manufacturing SSAR

Manufacturing, Refining and Processing SE Plastics and Rubber Products Manufacturing SSAS

Manufacturing, Refining and Processing SE Natural Gas Processing SSAT

Manufacturing, Refining and Processing SE Precious Metal Processor/Smelter SSAU
May 25, 2016 Page 283 of 291

Business Sector Name Business Sector 

Code

Business Subsector Name Business Subsector 

Code

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

Manufacturing, Refining and Processing SE Metals Fabricator SSAW

Manufacturing, Refining and Processing SE Other (Specify) SSAX

Wholesale Trade SF Lumber and Other Construction Materials 

Merchant Wholesalers

SSAY

Wholesale Trade SF Metal and Mineral Merchant Dealer SSAZ

Wholesale Trade SF Grocery and Related Product Merchant 

Wholesaler

SSBA

Wholesale Trade SF Farm Product Raw Material Merchant 

Wholesalers

SSBB

Wholesale Trade SF Chemical and Allied Products Merchant 

Wholesalers

SSBC

Wholesale Trade SF Petroleum and Petroleum Products Merchant 

Wholesalers

SSBD

Wholesale Trade SF Natural Gas, Power Marketer SSBE

Wholesale Trade SF Importer/Exporter (specify commodities) SSBF

Wholesale Trade SF Other (Specify SSBG

Retail Trade SG Building Materials and Supplies Dealers SSBH

Retail Trade SG Food and Beverage Stores SSBI

Retail Trade SG Jeweler/Precious Metals Retailer SSBJ

Retail Trade SG Vehicle Fuel Retailer/Convenience Store SSBK
May 25, 2016 Page 284 of 291

Business Sector Name Business Sector 

Code

Business Subsector Name Business Subsector 

Code

Operator

Retail Trade SG Fuel Dealers SSBL

Retail Trade SG Other (Specify) SSBM

Transportation and Warehousing SH Air Transport SSBN

Transportation and Warehousing SH Trucking SSBO

Transportation and Warehousing SH Pipeline Transportation of Crude Oil SSBP

Transportation and Warehousing SH Pipeline Transportation of Natural Gas SSBQ

Transportation and Warehousing SH Farm Product Warehousing and Storage SSBR

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

Transportation and Warehousing SH Other (Specify) SSBT

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

subsector selected)

SI Metals End User (Construction Co., Brass Mill, 

Steel Mill)

SSBU

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

subsector selected)

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

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

subsector selected)

SI Petroleum End User (Airline Cos. 

Municipalities, Industrial Cos., Trucking Cos.)

SSBW

Information SJ Other (Specify) SSBX

Real Estate SK Other (Specify) SSBY

Arts, Entertainment, and Recreation SL Performing Arts Companies SSBZ

Arts, Entertainment, and Recreation SL Promoters of Performing Arts SSCA
May 25, 2016 Page 285 of 291

Business Sector Name Business Sector 

Code

Business Subsector Name Business Subsector 

Code

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

Entertainers

SSCB

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

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

Accommodation and Food Services SM Food Services SSCE

Accommodation and Food Services SM Other (Specify) SSCF

Public Administration SN Administration of Environmental Quality 

Programs

SSCG

Public Administration SN Administration of Economic Programs SSCH

Public Administration SN Other (Specify) SSCI
May 25, 2016 Page 286 of 291

Supplemental List II: List of Commodity Group and Individual Commodities

Commodity Group Name Commodity Group 

Code

Individual Commodity Name Individual 

Commodity Code

Base Metals N25 Copper 085

Base Metals N25 Steel 192

Chemicals N40

Currency F10

Dairy Products A25 Butter 050

Dairy Products A25 Milk 052

Dairy Products A25 Cheese 063

Electricity And Sources N16 Uranium 016

Electricity And Sources N16 Coal 024

Electricity And Sources N16 Electricity 064

Emissions N60

Equities And Equity Indicies XXX

Fiber A40 Cotton 033

Foodstuffs/Softs A50 Coffee 083

Foodstuffs/Softs A50 Frozen Concentrated Orange Juice 040

Foodstuffs/Softs A50 Sugar 080

Foodstuffs/Softs A50 Cocoa 073

Grains A10 Wheat 001
May 25, 2016 Page 287 of 291

Commodity Group Name Commodity Group 

Code

Individual Commodity Name Individual 

Commodity Code

Grains A10 Corn 002

Grains A10 Oats 004

Grains A10 Rice 039

Interest Rates - U.S. Treasury F30

Livestock/Meat Products A20 Live Cattle 057

Livestock/Meat Products A20 Pork Bellies 056

Livestock/Meat Products A20 Feeder Cattle 061

Livestock/Meat Products A20 Lean Hogs 054

Natural Gas And Products N13 Natural Gas 023

Natural Gas And Products N13 Natural Gas Liquids 066

Oilseed And Products A30 Soybeans 005

Oilseed And Products A30 Soybean Oil 007

Oilseed And Products A30 Soybean Meal 026

Other (Specify) XXX

Other Agricultural A90

Other Financial Instruments F90

Petroleum And Products N10 Jet Fuel 262

Petroleum And Products N10 Ethanol 025

Petroleum And Products N10 Biodiesel 036

Petroleum And Products N10 Fuel Oil 021
May 25, 2016 Page 288 of 291

Commodity Group Name Commodity Group 

Code

Individual Commodity Name Individual 

Commodity Code

Petroleum And Products N10 Heatingoil-Diesel-Gasoil 022

Petroleum And Products N10 Gasoline 111

Petroleum And Products N10 Naphtha 032

Petroleum And Products N10 Crude Oil 067

Petroleum And Products N10

Plastics N50

Precious Metals N20 Palladium 075

Precious Metals N20 Platinum 076

Precious Metals N20 Silver 084

Precious Metals N20 Gold 088

Real Estate E10

Weather N70

Wood Products N30 Lumber 058

Wood Products N30 Pulp 069
May 25, 2016 Page 289 of 291

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

Business 

Purpose 

Code

Business Purpose Name Business Purpose Description Business Purpose Example

11 Offsetting Cash or Spot Market Input 

Price Risk

Using derivative markets for commodities 

that are direct inputs or purchases for your 

business so as to offset price risk 

associated with your purchase of these 

inputs

You are a grain processor, so you use wheat 

futures to offset the price risk incidental to 

your cash purchases of wheat

12 Offsetting Cash or Spot Market Output 

Price Risk

Using derivative markets for commodities that 

are direct outputs or sales of your business so as 

to offset price risk associated with your sale of 

these outputs

You are a gasoline refiner, so you use gasoline 

futures to offset price risk associated with your 

production of gasoline

13 Offsetting Other Cash or Spot Market 

Price Risks (Cross Price Risk)

Using derivative markets for a commodity 

that is not a direct input or output of your 

business, but which has significant price 

correlations with the direct inputs or 

outputs of your business

You manufacture ethanol which is used as an 

additive in and competitor for gasoline as a 

combustive fuel. While you neither directly 

consume nor produce gasoline, you may find 

that the price you receive for your ethanol 

product is highly correlated with the price of 

gasoline, and therefore you reduce ethanol 

price risk by using gasoline futures contracts

14 Other Physical Risk Management 

Strategies

Managing other price risks incidental to the 

operation of your business or physical assets 

through the use of commodity derivative 

markets

You are a manufacturer with significant 

international sales, so you use foreign currency 

futures to offset risks associated with changes in the 

competitiveness of your exports and therefore the 

value of your physical assets such as production 

plants, land, machinery, etc

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

portfolio diversification or exposure to 

You collect funds and execute trading 

strategies through the use of futures/options 
May 25, 2016 Page 290 of 291

Business 

Purpose 

Code

Business Purpose Name Business Purpose Description Business Purpose Example

various asset classes through your activity 

as a Commodity Pool Operator, 

Commodity Trading Advisor, or other 

similar role

markets at the expressed intent and for the 

sole benefit of clients

16 Managing Client Swaps Exposure Reducing risk stemming from holding or 

executing swaps contracts on behalf of clients 

or customers through the use of futures/options 

markets

You sell crude oil swaps to a client and agree to 

accept the risk inherent in the index price. You 

offset this risk through purchases of crude oil 

futures, in effect transferring price risk from the 

client to another market participant

17 Making Markets/Providing Liquidity Engaging in derivatives transactions to 

assume risk and help transfer ownership of 

derivative positions from one market 

participant to another, realizing the bidask spread as the return

You accept risk by buying and selling 

futures/options contracts so that other traders 

can move into and out of positions when they 

wish. You then find other traders willing to 

take the other side of those transactions

18 Arbitrage Using derivative markets as part of a strategy 

designed to realize risk-free profit from pricing 

anomalies

You realize that the wheat futures contract is trading 

at a discount (even after considering storage, 

transport, etc.) relative to the wheat cash price, and 

therefore find it profitable to purchase the wheat 

futures contract, take delivery, and then resell the 

wheat in the cash market for a risk-free profit

19 Establishing Price Exposure Using derivative markets as a way to 

express your belief in the future 

movement of market prices. This strategy 

does not involve offsetting risks incidental 

to your business, but instead involves 

directional trading

You conduct research and believe that crude 

oil prices are due to rise, so you take long 

futures positions in crude oil to profit from 

your predictions
May 25, 2016 Page 291 of 291

Business 

Purpose 

Code

Business Purpose Name Business Purpose Description Business Purpose Example

20 Financial Asset Management Using derivatives to diversify, rebalance, or 

otherwise allocate financial assets so that risks 

to the value of the investment portfolio are 

reduced. This strategy is used by entities such 

as pension funds and endowments to manage 

overall risk to their financial portfolios

You hold Treasury bonds as a component of your 

investment portfolio, and use futures contracts to 

reduce overall portfolio risk that would result from 

falling bond prices

21 Managing Proprietary Swaps 

Exposure

Reducing risk stemming from your 

proprietary holding or execution of swaps 

contracts through the use of 

futures/options markets

You trade interest rate swaps as part of your 

business or investment strategy, and offset 

some of the risk inherent in those swaps 

through your use of Eurodollar futures markets

22 Other: Specify List and explain your business purpose if the 

above categories do not adequately describe the 

reason you trade in a particular commodity 

derivative market