DCM Guidebook for Submitting Exemption Data 

Under Part 150.5

Version 1.1

Oct. 13, 2022

CFTC

Commodity Futures Trading 

Commission
Commodity Futures Trading Commission

Division of Data Guidebook for Part 150.5

Document History

Revisions

Date Version Description Author 

12/6/2021 1.0 Initial release DOD

10/13/2022 1.1 Revision to all Sections of the Guidebook DOD
Commodity Futures Trading Commission

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Guidebook for Part 150.5

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Contents

1. Introduction .................................................................................................................................................................................... 1

Hedge Exemption Reporting Program .................................................................................................................................................................. 1

Monthly Hedge Exemption and Supporting Data Reporting ................................................................................................................................. 1

References ............................................................................................................................................................................................................... 2

2. Technical Requirements................................................................................................................................................................ 3

Part 150.5 Electronic Data Submission Procedure ................................................................................................................................. 3

Reporting Schedules.................................................................................................................................................................................. 3

Format the Data for Transmission............................................................................................................................................................ 3

2.3.2 Special Characters ................................................................................................................................................................................... 4

2.3.3 Repeating Values ..................................................................................................................................................................................... 5

Name the File(s).......................................................................................................................................................................................... 6

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

Connect to CFTC with Secure FTP ........................................................................................................................................................... 7

Transmit the File(s)..................................................................................................................................................................................... 7

Data Validation and Error Handling.......................................................................................................................................................... 8

Error and Omission Correction Handling ................................................................................................................................................ 8

3. Information to be Submitted by Exchanges ................................................................................................................................ 9

3.1 Hedge Exemption Reports................................................................................................................................................................................ 9
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Appendix A: SFTP Account Registration .........................................................................................................................................14

Appendix B: List of Core Referenced Futures Contracts (CRFC)...................................................................................................19

Appendix C: Enumerated Hedge List.................................................................................................................................................20

Appendix D: Sample File.....................................................................................................................................................................22

Appendix E – Pipe Delimited .csv Sample File ................................................................................................................................. 24
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1. Introduction

Hedge Exemption Reporting Program

 The Commodity Futures Trading Commission (“Commission” or “CFTC”) regulations set forth speculative position limits for certain 

commodities that accord with the Wall Street Transparency and Accountability Act of 2010 (“Dodd-Frank Act”). The Commission’s Position Limit 

rule sets forth: New and amended Federal spot-month limits for 25 physical commodity derivatives; amended single month and all-monthscombined limits for most of the agricultural contracts currently subject to Federal position limits; new and amended definitions for use 

throughout the position limits regulations, including a revised definition of “bona fide hedging transaction or position” and a new definition of 

“economically equivalent swaps”; amended rules governing exchange-set limit levels and grants of exemptions therefrom; a new streamlined 

process for bona fide hedging recognitions for purposes of Federal position limits; new enumerated bona fide hedges; and amendments to 

certain regulatory provisions that would eliminate Form 204 while also enabling the Commission to leverage and receive cash-market reporting 

submitted directly to the exchanges by market participants. 

 CFTC position rules for Positions Limits for Derivatives https://www.federalregister.gov/d/2020-25332/p-3

Monthly Hedge Exemption and Supporting Data Reporting

 For commodity derivative contracts subject to Federal speculative position limits, a Designated Contract Market (DCM) or Swap 

Execution Facility (SEF) must submit to the Commission a report each month showing the disposition of any exemption application, including the 

recognition of any position as a bona fide hedging transaction or position, the exemption of any spread transaction or other position, the 

renewal, revocation, or modification of a previously granted recognition or exemption, and the rejection of any application, as well as details in 

the Data Dictionary in Section 3.1. DCMs or SEFs that do have traders above any Federal position limit do not need to submit a report to the 

Commission concerning the nature of any exemptions that they have granted. 

 CFTC regulations are found at Title 17 Chapter 1 part 150.5 of the Code of Federal Regulations (CFR) and are available at the U.S. GPO Access website at 17 

CFR 150.5(a)(4) https://www.ecfr.gov/current/title-17/chapter-I/part-150/section-150.5#p-150.5(a)(4)
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References

Document Name Location

CFTC Regulations Title 17 Chapter 1 part 150.5 

on U.S. GPO Access website

https://www.ecfr.gov/current/title-17/chapter-I/part150/section-150.5#p-150.5(a)(4)

CFTC position rules for Positions Limits for 

Derivatives https://www.federalregister.gov/d/2020-25332/p-3
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2. Technical Requirements

Please forward questions regarding format, content, and transmission of Part 150.5 data submissions to the CFTC at 

PLExemptionDataSupport@CFTC.gov . 

Part 150.5 Electronic Data Submission Procedure

Follow the steps below to submit Part 150.5 Reports: 

A. Create the report into a delimited formatted file following the Part 150.5 Report as described in section 3.1.1 and sample file in 

Appendix E.

B. Name the file using the Part 150.5 Reporting file name format contained in section 2.4. 

C. Compress the file as described in section 2.5. 

D. Connect to the CFTC Secured File Transfer Protocol (SFTP) site as described in section 2.6. 

E. Transmit the electronically formatted records to the Commission using Secure SFTP as described in section 2.7. 

 

Reporting Schedules

Reports filed under Section 150.5 must be submitted through electronic data transmission procedures on the 1st business day following the 

end of the month. 

 

Format the Data for Transmission

2.3.1 File Format and Field Length 
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Each file must contain a header row as its first row. That row will have the file header name of each field delimited by pipe characters. The data 

is reported in pipe ‘|’ delimited format using the Data Dictionary fields. The DCM should notify the CFTC if it has a value that exceeds the length 

specified in this specification prior to submission. Further, all value(s) in the fields should be enclosed in double quotes (" "). The file header 

names are listed in the Data Dictionary tables in section 3.1. The file extension is .csv.

2.3.2 Special Characters

Non-printable and special characters are not supported by all systems. They are often translated or interpreted erroneously and may cause 

data processing issues. There are 256 ASCII characters, including the extended ASCII character set. To reduce confusion over which 

characters can be processed in Hedge Exemption submissions, ASCII characters can be classified in the following groups:

ASCII Character Meaning Status

0-9, 11-12, 14-31 ASCII control characters Not Allowed

10, 13 Control characters for line feed (LF) and carriage

return (CR), respectively

Allowed

32-126 Standard printable characters(letters, digits,

punctuation marks, miscellaneous symbols)

Allowed

127 Control character for DEL (delete) Not Allowed

128-255 Extended ASCII (ISO-8859-1) Not Allowed

Many currency denominations and foreign symbols fall under the extended ASCII character set. For this reason, any reference to currency 

denomination should be reported as the three-letter alphabetic ISO 4217 currency code (e.g., USD, GBP, EUR, and JPY) rather than translated 

currency names or ambiguous currency symbol (e.g., $, £, €, and ¥).
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2.3.3 Repeating Values

Fields that require reporting of multiple values in a single field can be reported using a semi-colon (;) delimiter between the reported 

values. The example below uses a semi- colon for Spread ID which requires multiple Spread IDs resulting from clearing. In addition, all 

values within the field must be encapsulated using double quotes.

Field name Reported values Explanation

Spread ID "Intra-market; Inter-market" 2 Spread IDs separated by ‘;’ and each reported value 

passes validation rules for format and allowable value 

of the data element

 
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Name the File(s)

The Commission uses file names to facilitate routing inbound data files to the appropriate processing application. Each file must contain data for 

a single reporting DCM or SEF for a single date. For the Hedge Exemption report the file naming convention is: 

Production File :

HdgExmptRpt_[EXCHANGE]_ [YYYYMMDD].csv

Test File :

 HdgExmptRpt_[EXCHANGE]_ [YYYYMMDD]_TEST.csv

EXCHANGE: 

 MIC (Market Identifier Code) value for the exchange represented in the data being sent. 

HdgExmptRpt: 

Identifies the CSV file as being Headge Exemption Report data. 

YYYYMMDD: 

This field is the cleared date in string format of the data being reported in YYYYMMDD format. 

FORMAT: 

FORMAT File Type

Pipe Delimited CSV reporting using the HdgExmptRpt
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Your firm can contact our Technical Support representative at PLExemptionDataSupport@CFTC.gov to verify the results of test data you 

have submitted.

Assemble and Compress the File(s) 

After you assemble the data file, compress it using the GZIP utility or WINZIP. The GZIP utility is freely available at http://www.gzip.org. Form 

the GZIP file name by appending “.gz” to the compressed file’s name. Alternatively you may use WINZIP to compress and append “.zip” to 

the file name. The only acceptable archive file typs are .ZIP or .GZ. 

Connect to CFTC with Secure FTP 

Connect to the CFTC FTP site at traders.cftc.gov, and log in using your account and password. 

The compressed files must be submitted to the CFTC via Secured File Transfer Protocol (SFTP). Reporting entities with SFTP accounts can 

continue to use those accounts for Part 150.5 reporting. New reporters who do not already have an SFTP accounts setup must request a 

Secure FTP account from the CFTC. See Appendix B: SFTP Account Registration.

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, begin processing the data and the file will immediately

be deleted from the FTP server. Reporters will be unable to modify the file in any way after it has been written to the FTP server. 
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Data Validation and Error Handling

Reports submitted to CFTC under Part 150.5 are subjected to several quality checks before final processing and promotion into the 

appropriate production database tables. The CFTC does not plan to include data-validation and error handling in this interim delimited 

dataset.. 

Error and Omission Correction Handling

Reporting markets shall file corrections to errors or omissions in data previously filed with the Commission pursuant to Part 150.5 using 

same format, coding structure, and electronic data submission procedures previously described in this section. To correct errors or 

omissions an exchange must resubmit the entire corrected file for the affected day, which will be reprocessed and replace existing data 

records for that day. Data correction and resubmission must be done in a timely manner and prior to the next required data submission.
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3.Information to be Submitted by Exchanges 

3.1 Hedge Exemption Reports

Data Dictionary for Part 150 Reports

The tables below show the data elements that must be included in each of the different delimited messages, along with a description of 

each data element, and a reference for the data elements. The use column indicates whether the field is mandatory (M) or conditional 

(C). If you are able to populate a conditional field, it is required to be populated. For conditional fields refer to the CFTC Description, 

Purpose or Instruction column, as some conditional fields may explicitly state the conditions under which these fields are mandatory. 

Item Data Element Use CFTC Description, Purpose or Instruction Valid 

Values/Length

Data Type / 

Length

150.5-

Letter

1. Approval Date M The date of disposition. Date the exemption was approved. YYYY-MM-DD Date A

2. Effective Date M 

The effective date of the disposition. Date hedge exemption becomes effective. 

The effective date can be before the approval date. YYYY-MM-DD Date B 

3. Expiration Date M The expiration date of any recognition or exemption YYYY-MM-DD Date C

4. Exemption ID M Any unique identifier(s) the designated contract market or swap execution 

facility may assign to track the application

String(20) D

5. Exemption Type M Type of recognition or exemption. New, Renewal, 

Renewal-Increase, 

Modified, Expired, 

Overage

String(20) D

6. Approval Status M Status of the exemption application Fully Approved, 

Partially Approved

String(20) D
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Item Data Element Use CFTC Description, Purpose or Instruction Valid 

Values/Length

Data Type / 

Length

150.5-

Letter

7. Hedges of inventory 

and cash commodity 

fixed-price purchase 

contracts

M Y/N flag to indicate if the listed exemption meets the conditions of an 

enumerated hedge. See Appendix C or CFTC regulations for a list.

Y/N String(1) E

8. Hedges of cash 

commodity fixedprice sales contracts

M Y/N flag to indicate if the listed exemption meets the conditions of an 

enumerated hedge. See Appendix C or CFTC regulations for a list. Y/N String(1) E 

9. Hedges of offsetting 

unfixed-price cash 

commodity sales and 

purchases

M Y/N flag to indicate if the listed exemption meets the conditions of an 

enumerated hedge. See Appendix C or CFTC regulations for a list. Y/N String(1) E 

10. Hedges of unsold 

anticipated 

production

M Y/N flag to indicate if the listed exemption meets the conditions of an 

enumerated hedge. See Appendix C or CFTC regulations for a list. Y/N String(1) E 

11. Hedges of unfilled 

anticipated 

requirements

M Y/N flag to indicate if the listed exemption meets the conditions of an 

enumerated hedge. See Appendix C or CFTC regulations for a list. Y/N String(1) E 

12. Hedges of 

anticipated 

merchandising

M Y/N flag to indicate if the listed exemption meets the conditions of an 

enumerated hedge. See Appendix C or CFTC regulations for a list. Y/N String(1) E 

13. Hedges by agents M Y/N flag to indicate if the listed exemption meets the conditions of an 

enumerated hedge. See Appendix C or CFTC regulations for a list. Y/N String(1) E 

14. Hedges of 

anticipated mineral 

royalties

M Y/N flag to indicate if the listed exemption meets the conditions of an 

enumerated hedge. See Appendix C or CFTC regulations for a list. Y/N String(1) E 
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Item Data Element Use CFTC Description, Purpose or Instruction Valid 

Values/Length

Data Type / 

Length

150.5-

Letter

15. Hedges of 

anticipated services M Y/N flag to indicate if the listed exemption meets the conditions of an enumerated hedge. See Appendix C or CFTC regulations for a list. Y/N String(1) E 

16. Offsets of commodity 

trade options M Y/N flag to indicate if the listed exemption meets the conditions of an enumerated hedge. See Appendix C or CFTC regulations for a list. Y/N String(1) E 

17. Cross-commodity 

hedges M Y/N flag to indicate if the listed exemption meets the conditions of an enumerated hedge. See Appendix C or CFTC regulations for a list. Y/N String(1) E 

18. Non-enumerated 

Hedge M Approved as non-enumerated bona fide hedging transactions or positions in accordance with paragraph (b)(4) of this section [150.3] or § 150.9. Y/N String(1) E 

19.

Spread ID C 

If the application is for a spread transaction listed in the spread transaction 

definition in § 150.1, the name of the spread transaction as it is listed in § 150.1. 

If multiple spread transaction types apply, separate the spread names by a 

semicolon (;). For spread transactions approved by the Commission in 

accordance with CFTC Regulation 150.3(b)(4), write "Other".

Intra-market, Intermarket, Intracommodity, Intercommodity, 

Calendar, Quality 

differential, 

Processing, Product 

or by-product 

differential, 

Futures-option, 

Other

String(256) F 

20. Trader Public ID M Public ID used when submitting CFTC Form 40. string (9) G

21. Trader Common 

Name

M Name of the applicant. string (128) G

22. Trader LEI C LEI of the applicant, if applicable. string (20) G

23. Commodity Name M Name of the specific commodity for which the exemption is granted. String(256) H
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Item Data Element Use CFTC Description, Purpose or Instruction Valid 

Values/Length

Data Type / 

Length

150.5-

Letter

24. Commodity Code M Exchange and clearing symbol for the specific commodity for which the 

exemption is granted, separated by a space. 

String(12) H

25. Core Reference 

Futures Contract 

(CRFC)

M The core reference futures contract to which the application pertains. Provide 

the value as the exchange MIC and clearing code for the CRFC, separated by a 

space (e.g. XNYM CL)

See Appendix B

String(7) H

26. Underlying Cash 

Commodity Name

M The underlying cash commodity String(128) I

27. Long or Short M Indicator for whether the exemption is for long or short derivative positions L/S String(1) J

28. Exemption Amount M The maximum size of the commodity derivative exempted position that is 

recognized by the designated contract market or swap execution facility as a 

bona fide hedging transaction or position, provided in Core Referenced Futures 

Contract (CRFC) equivalents. (Note: This value should reflect the amount by 

which the trader is allowed to exceed the limit, NOT the total quantity they are 

allowed to hold incorporating the limit.)

integer J

29. Exemption Contract 

Month

C If the exemption applies to a particular contract month, specify the month. 

Otherwise, leave blank. 

YYYY-MM Date J

30. Exemption Range M Period over which exemption applies. If the exemption applies over the whole 

period (e.g. the entire spot period, a single month or all contract months), write 

"Full". If the exemption steps down X days from the Last Trading Day of the 

Core Reference Futures Contract (LTD), write X in the field. For reference, for 

CRFC LTD is equal to '1'. For an exemption that goes into effect the business day 

before LTD, write '2', etc.

Examples: Full, 3, 2, 

1 

String(4) J

31. Exemption 

Designation

M Designation of whether exemption applies to all months (A), an individual 

month (I), only the spot month (S), or only when the conditional limit for natural 

gas also applies (C).

S - Regular Spot 

Month

I - Individual Month

String(1) J
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Item Data Element Use CFTC Description, Purpose or Instruction Valid 

Values/Length

Data Type / 

Length

150.5-

Letter

A- All-monthscombined

C - Conditional Spot 

(NG)

32. Exemption Condition C Any size limitations or conditions established for a spread exemption or other 

exemption

Exchange provided 

text description

string(1024) K

33. Cash & Swaps 

Market Summary

M For a bona fide hedging transaction or position, a concise summary of the 

applicant's activity in the cash markets and swaps markets for the commodity 

underlying the commodity derivative position for which the application was 

submitted

Exchange provided 

text description

string (2056) L

35. Exchange Name M MIC of the exchange For example: IFUS, 

XCME 

String (4) D

35. Submission Date M The file date of the exemption submission. YYYY-MM-DD Date
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Appendix A: SFTP Account Registration 

To register an SFTP account:

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

https://accountcreation.cftc.gov/CFTCAccount.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. 

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

• Requester first name – The first name of the user requesting the account
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• 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 Division of Data for approval.
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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. 

REQUEST ACCOUNT CREATION FOR DATA SUBMISSION TO THE CFTC

The CFTC will review your request and send you’re an email after your request has been processed.

Return to CFTC.gov
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CONFIRM YOUR REQUEST

Reporting firms enter your firm’s Alpha Code. Service Bureau and other organizations enter your Confirmation Code. Click the Confirm 

button once complete.

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. All entities that are providing reporting must use Secure FTP to transmit their 

data.
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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.

Note: Instructions say to put files in “positions” subfolder. Don’t use the positions subfolder. Put the files 

in the root.
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Appendix B: List of Core Referenced Futures Contracts (CRFC)

CRFC Name Commodity Code

CBOT Corn XCBT C

CBOT Oats XCBT O

CBOT Soybeans XCBT S

CBOT Soybean Oil XCBT 07

CBOT Soybean Meal XCBT 06

CBOT Wheat XCBT W

CBOT KC Hard Red Winter Wheat XCBT KW

CBOT Rough Rice XCBT 14

MGEX Hard Red Spring Wheat XMGE W

ICE Cotton No. 2 IFUS CT

ICE Cocoa IFUS CC

ICE Coffee C IFUS KC

ICE FCOJ-A IFUS OJ

ICE Sugar No. 11 IFUS SB

ICE Sugar No. 16 IFUS SF

CME Live Cattle XCME 48

COMEX Gold XCEC GC

COMEX Silver XCEC SI

COMEX Copper XCEC HG

NYMEX Platinum XNYM PL

NYMEX Palladium XNYM PA

NYMEX Henry Hub Natural Gas XNYM NG

NYMEX Light Sweet Crude Oil XNYM CL

NYMEX New York Harbor ULSD Heating 

Oil XNYM HO

NYMEX New York Harbor RBOB Gasoline XNYM RB
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Appendix C: Enumerated Hedge List

Enumerated 

Hedge Number Enumerated Hedge Name Requirement/Explanation 

1 Inventory & Cash Commodity Fixed 

Purchase Contracts

Inventory or a fixed-price purchase contract, must be on hand as opposed to a non-fixed price purchase 

contract or an anticipated purchase; this hedge requires the person to establish a short position in a commodity 

derivative contract to offset price risk.

2 Cash Commodity Fixed-Price Sales 

Contracts 

Long positions in commodity derivatives contracts that do not exceed in quantity the sum of the person’s fixedprice sales contracts in the underlying cash commodity and the quantity of equivalent fixed-price sales contracts 

in cash commodity and by-products of such commodity.

3 Offsetting Unfixed-Price Cash 

Commodity Purchases and Sales

Long and short positions that are not greater than the amount of the underlying cash commodity that has been 

both bought and sold by the same person at an unfixed price. This can now be used to hedge a cash commodity 

bought and sold at unfixed prices at a basis to different derivatives contracts in the same commodity even if for 

the same calendar month (not just different months).

4 Unsold Anticipated Product Short position in contracts that do not exceed in quantity the person’s unsold anticipated production of the 

underlying cash commodity; no longer limited to 12 months of unsold production; no more five-day rule.

5 Unfilled Anticipated 

Requirements

Long positions that do not exceed in quantity the person’s unfilled anticipated requirements for the underlying 

cash commodity, for processing, manufacturing, or use by the person, or for resale by a utility as it pertains to 

obligations to meet unfilled anticipated demand for customers.

6 Anticipated Merchandising

Long or short positions that offset the anticipated change in value of the underlying commodity that a person 

anticipates purchasing or selling, provided that: (1) the positions do not exceed in quantity 12 months of current 

or anticipated purchase or sale requirements of the same commodity; and (2) the person is a merchant with a 

demonstrated history of such activity and that person is entering into the position solely for its merchandising 

business.
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Enumerated 

Hedge Number Enumerated Hedge Name Requirement/Explanation 

7 Hedges by Agents

Long or short positions by an agent who does not own or has not contracted to sell or purchase the underlying 

cash commodity at a fixed price, provided that: (1) the agent is responsible for merchandising the cash 

positions; and (2) the agent has a contractual arrangement with the person who owns the commodity or holds 

the cash market commitment being offset.

8 Anticipated Mineral Royalties Short positions in a person’s contracts offset by the anticipated change in value of owned mineral royalty rights; 

provided that the rights arise out of the production of underlying mineral.

9 Anticipated Services

Long or short positions offset by the anticipated change in value of receipts or payments due or expected to be 

due under an executed contract for services held by that person; provided that the contract arises out of 

commercial activities (i.e., production, manufacturing, etc.) relating to such underlying commodity.

10 Offsets of Commodity Trade 

Options

Long or short positions that do not exceed in quantity, on a futures- equivalent basis, a position in a commodity 

trade option that meets the requirements of CFTC Regulation 32.3.

11 Cross-Commodity Hedges

Enumerated bona fide hedging positions referenced above may also be used to offset the risks arising from a 

commodity other than the cash commodity underlying the commodity derivatives contract, provided that the 

fluctuations in value of the cash commodity must be substantially related to the fluctuations in value of the 

actual or anticipated cash commodity position or pass- through swap; “substantially related” means that the 

commodities must have a reasonable commercial relationship and serve as reasonable substitutes for one 

another; no more five-day rule.

. 
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Appendix D: Sample File

Item Data Element Record 1 Record 2 Record 3

1 Approval Date 2021-01-19 2021-01-19 2021-01-19

2 Effective Date 2021-01-19 2021-01-19 2021-01-19

3 Expiration Date 2022-01-19 2022-01-19 2022-01-19

4 Exemption ID

5 Exemption Type New Renewal Expired

6 Approval Status Fully Approved Partially Approved Fully Approved

7 

Hedges of inventory and 

cash commodity fixed-price 

purchase contracts

Y 

N Y

8 Hedges of cash commodity 

fixed-price sales contracts Y 

Y Y

9 

Hedges of offsetting 

unfixed-price cash 

commodity sales and 

purchases

N 

N N

10 Hedges of unsold 

anticipated production N 

Y Y

11 Hedges of unfilled 

anticipated requirements Y 

Y Y

12 Hedges of anticipated 

merchandising Y 

N N

13 Hedges by agents Y Y N

14 Hedges of anticipated 

mineral royalties N 

N Y

15 Hedges of anticipated 

services Y 

N Y

16 Offsets of commodity trade 

options Y 

Y Y

17 Cross-commodity hedges N N N

18 Non-enumerated Hedge N Y Y
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Item Data Element Record 1 Record 2 Record 3

19 Spread ID Intra-market Futures-option Quality differential

20 Trader Public ID 123456789 101112131 141516178

21 Trader Common Name Trader Name A LLC Trader Name B LLC Trader Name C LLC

22 Trader LEI 12A34B56C78D91011121 12A34B56C78D91011122 12A34B56C78D91011123

23 Commodity Name Corn RBOB Gasoline Futures Gold

24 Commodity Code C RB GC

25 Core Reference Futures 

Contract (CRFC) XCBT C

XNYM RB XCEC GC

26 Underlying Cash Commodity 

Name Milo, DDGs, Corn Oil, and Ethanol Gasoline/Blendstocks Gold

27 Long or Short L S L

28 Exemption Amount 800 800 6000

29 Exemption Contract Month 2022-01 2022-01

30 Exemption Range Full Full 1

31 Exemption Designation A I S

32 Exemption Condition

Positions must be in compliance with 

Exchange and Federal requirements at all 

times.

33 Cash & Swaps Market 

Summary

INV: 1,919

FPS: 1,500 

FPP: 836

INV: 10,222

FPP: 321

34 Exchange Name XCBT XNYM XCEC

35 Submission Date 2021-01-19 2021-01-19 2021-01-19
Commodity Futures Trading Commission

Division of Data Guidebook for Part 150.5

Page 24 of 28

Appendix E – Pipe Delimited .csv Sample File

Approval Date|Effective Date|Expiration Date|Exemption ID|Exemption Type|Approval Status|Hedges of inventory and cash commodity fixed-price purchase 

contracts|Hedges of cash commodity fixed-price sales contracts|Hedges of offsetting unfixed-price cash commodity sales and purchases|Hedges of unsold 

anticipated production|Hedges of unfilled anticipated requirements|Hedges of anticipated merchandising|Hedges by agents|Hedges of anticipated mineral 

royalties|Hedges of anticipated services|Offsets of commodity trade options|Cross-commodity hedges|Non-enumerated Hedge|Spread ID|Trader Public 

ID|Trader Common Name|Trader LEI|Commodity Name|Commodity Code|Core Reference Futures Contract (CRFC)|Underlying Cash Commodity Name|Long or 

Short|Exemption Amount|Exemption Contract Month|Exemption Range|Exemption Designation|Exemption Condition|Cash & Swaps Market 

Summary|Exchange Name|Submission Date

"2021-01-19"|"2021-01-19"|"2022-01-19"|"21-H-2"|"New"|"Fully Approved"|"Y"|"Y"|"N"|"N"|"Y"|"Y"|"Y"|"N"|"Y"|"Y"|"N"|"N"|"Intramarket"|"123456789"|" Trader Name A LLC"|"12A34B56C78D91011121"|"Corn"|"C"|"XCBT C"|"Milo| DDGs| Corn Oil| and Ethanol"|"L"|"800"|"2022-

01"|"Full"|"A"|"Position must comply with Federal requirements at all times."|""|"XCBT"|"2021-01-19"

"2021-01-19"|"2021-01-19"|"2022-01-19"|"21-H-3"|"Renewal"|"Partially Approved"|"N"|"Y"|"N"|"Y"|"Y"|"N"|"Y"|"N"|"N"|"Y"|"N"|"Y"|"Futuresoption"|"123456710"|" Trader Name B LLC"|"12A34B56C78D91011143"|"RBOB Gasoline Futures"|"RB"|"XNYM RB"|"Gasoline/Blendstocks"|"S"|"800"|"2022-

01"|"3"|"I"|"Positions must be in compliance with Exchange and Federal requirements at all times."|"INV: 1,919 FPS: 1,500 FPP: 836"|"IFUS"|"2021-01-19"

"2021-01-19"|"2021-01-19"|"2022-01-19"|"21-H-4"|"Expired"|"Fully Approved"|"Y"|"Y"|"N"|"Y"|"Y"|"N"|"N"|"Y"|"Y"|"Y"|"N"|"Y"|"Quality 

differential"|"123456716"|" Trader Name B LLC"|"12A34B56C78D91011151"|"Gold"|"GC"|"COMEX Gold"|"Gold"|"L"|"6000"|"2022-01"|"1"|"S"|""|"INV: 10,222 FPP: 

321"|"IFED"|"2021-01-19"