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1. Before anything else, when completing the CFTC Form 102, begin with the part that features the subsequent blanks:
2. Once your current task is complete, take the next step – fill out all of these fields - a Check as many as apply to the, Individual, Trust, Partnership, Sole Proprietorship, Corporation, Limited Liability Corporation, Other Specify, Joint, b Principal business or occupation, CFTC Form Previous Editions, and Page of with their corresponding information. Double-check everything before continuing.
3. This step covers: account including limited partners, Name, Location, Last First Middle Initial, City and State or Country, Report all persons other than, continuation sheet if necessary If, Name, Location, Last First Middle Initial, City and State or County, Controlled Accounts If you, If ten or more accounts are, If fewer than ten accounts are, and NOTE Exchanges using this form may - type in all these blank fields.
4. This section includes: Are trades and positions in this, commodities ie positions, Yes, If yes list those specific futures, Name location and business phone, country list country and city, Name, Location, Last First Middle Initial, Business Phone, City and State or Country, Firm Name and Address, Name Print, Title, and Business Phone.
Many people make errors in the Firm Name and Address section. Review this part carefully before submitting.
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CFTC Form 102 Common Questions
What is the purpose of CFTC Form 102? This form is required by the Commodity Futures Trading Commission for the identification of large trader positions that exceed reporting thresholds. Futures commission merchants, clearing members, and foreign brokers must assign reporting numbers and disclose the account owner, controlling entity, and trading purpose to the CFTC.
You may also need a broker carrier agreement form or a financial affidavit for related financial filings.