The Division of Market Oversight has issued time-limited relief until August 12, 2022 from
certain aggregation requirements under Commission Regulation 150.4, including certain requirements involving the notice filings required by
Commission Regulation 150.4(c). Under the terms of the relief, market participants do not need to file a notice required by Commission
Regulation 150.4(c) unless the participant receives a request from Commission or exchange staff. Participants must file such notices within
five business days of receiving such a request. Any participant may choose, of its own accord during the relief period, to file a notice with
the Commission prior to receiving a request for such a notice. All notice filings must be submitted to the Commission using this portal by
following the instructions below.
For more information go to DMO Press Release 7989-19.
Commission Regulation 150.4 provides rules to determine which accounts and positions a person must aggregate for the purpose of determining
compliance with the position limit levels found in Commission Regulation 150.2. Some persons may qualify for an exemption from the aggregation
requirements. As required by Commission Regulation 150.4(c), a person wanting to qualify for the aggregation exemptions provided by
Regulation 150.4 sections (b)(1)(ii), (b)(2), (b)(3), (b)(4), or (b)(7) must file a notice with the Commission that provides a description of
the relevant circumstances that warrant disaggregation, and a statement certifying that, as of the date of the filing, the conditions
of the applicable aggregation exemption provision have been met. Commission Regulation 150.4(c) also requires additional information to be
submitted upon call by the Commission or to update or amend a previous notice in the event of a material change to the information previously
provided. The notice filing requirement is effective as of Feb 14, 2017, subject to the no-action relief described above. This portal provides
the method to submit these filings.
Please complete all required fields and select the [Submit] button.
PLEASE NOTE: To help ensure your privacy and security, unless you affirmatively extend your session when prompted, the online
form will timeout after 65 minutes, and ALL DATA WILL BE LOST. You will then need to re-access the form
to re-enter information in all the fields.
Please contact TechSupport@cftc.gov with any technical questions or issues filing this form.
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