17 CFR 20.5 - Series S filings.

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There is 1 rule appearing in the Federal Register for 17 CFR 20. View below or at eCFR (GPOAccess)
§ 20.5 Series S filings.
(a) 102S filing.
(1) When a counterparty consolidated account first becomes reportable, the reporting entity shall submit a 102S filing, which shall consist of the name, address, and contact information of the counterparty and a brief description of the nature of such person's paired swaps and swaptions market activity.
(2) A reporting entity may submit a 102S filing only once for each counterparty, even if such persons at various times have multiple reportable positions in the same or different paired swaps or swaptions; however, reporting entities must update a 102S filing if the information provided is no longer accurate.
(3) Reporting entities shall submit a 102S filing within three days following the first day a consolidated account first becomes reportable or at such time as instructed by the Commission upon special call.
(b) 40S filing. Every person subject to books or records under § 20.6 shall after a special call upon such person by the Commission file with the Commission a 40S filing at such time and place as directed in the call. A 40S filing shall consist of the submission of a Form 40, which shall be completed by such person as if any references to futures or option contracts were references to paired swaps or swaptions as defined in § 20.1.

Title 17 published on 2013-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2013-11-18; vol. 78 # 222 - Monday, November 18, 2013
    1. 78 FR 69178 - Ownership and Control Reports, Forms 102/102S, 40/40S, and 71
      GPO FDSys XML | Text
      COMMODITY FUTURES TRADING COMMISSION
      Final rule.
      Effective date: February 18, 2014. Compliance date: The compliance date will be delayed by an additional 180 days, with the result that the compliance date of these final rules will be August 15, 2014.
      17 CFR Parts 15, 17, 18, and 20

Title 17 published on 2013-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 20 after this date.

  • 2013-11-18; vol. 78 # 222 - Monday, November 18, 2013
    1. 78 FR 69178 - Ownership and Control Reports, Forms 102/102S, 40/40S, and 71
      GPO FDSys XML | Text
      COMMODITY FUTURES TRADING COMMISSION
      Final rule.
      Effective date: February 18, 2014. Compliance date: The compliance date will be delayed by an additional 180 days, with the result that the compliance date of these final rules will be August 15, 2014.
      17 CFR Parts 15, 17, 18, and 20