The CFTC Public Portal allows industry participants, such as commodity traders, brokers and exchanges, to share information and interact with the CFTC. CFTC's Portal allows external participants to securely communicate with the Commission simplifying the process of submitting data, receiving and responding to requests, and submitting registration requests.
The following forms have been created and can be accessed either from the public site (www.cftc.gov) or through an authenticated login (https://portal.cftc.gov).
Swap Dealer and Major Swap Participant Part 23 / 3.3 Form
Commission Regulation 3.3(f) requires that each Swap Dealer (SD) and Major Swap Participant (MSP) furnish electronically to the Commission a copy of the Annual Report of the SD's or MSP's Chief Compliance Officer not more than 90 days after the end of the fiscal year of the SD or MSP..
Whistleblower Tips and Complaint Form
The CFTC's whistleblower program - which was created by the Dodd-Frank Act - allows for the payment of monetary awards to eligible whistleblowers. Also, whistleblowers who share information with or assist the CFTC may be eligible for anti-retaliation protections under the Commodity Exchange Act. To become a whistleblower, you must complete and submit a Whistleblower Tips and Complaint form.
Division of Enforcement (DOE) Complaint Form
The CFTC's Division of Enforcement investigates and prosecutes alleged violations of the Commodity Exchange Act and Commission regulations. You may contact by filling out the electronic form to report suspicious activities or transactions which may involve the trading of commodity futures contracts, swap agreements, or commodity options.
Derivatives clearing organizations (DCOs) can submit monthly, quarterly, audited financial statements, chief compliance officer, and event-specific reports required by Part 39 of the Commission's regulations.
- Section 39.19(c)(2) and 39.11(f) address monthly and quarterly reporting
- Section 39.19(c)(3) addresses annual reporting and Chief Compliance Officer Annual Reporting
- Section 39.19(c)(4) addresses event-specific reporting (also known as notices)
If you have questions about the Rule itself or the type of information that should be submitted to the CFTC, email email@example.com.
Designated Contract Markets (DCMs) can submit quarterly financial resources report and statements required by Part 38 of the Commission's regulations.
- Section 38.1101(f) Financial Resources Report and Statements
If you have questions about the Rule itself or the type of information that should be submitted to the CFTC, email firstname.lastname@example.org.
Swap Execution Facility (SEF) General Upload Form
Section 733 of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act") adopts new Section 5h of the Commodity Exchange Act ("CEA"), which provides that no person may operate a facility for the trading or processing of swaps unless the facility is registered as a swap execution facility ("SEF") or as a designated contract market ("DCM"). SEF applicants must file the Form SEF electronically as part of their application with the Commission using the General Upload Form
Frequently Asked Questions
- Who do I contact if I want to gain access to the Portal?
Please send an email to email@example.com requesting access. You need to include your first and last name, the name of the organization you represent and a telephone phone number.
- I represent multiple firms, can I uniquely report for each firm?
Yes. You will receive a unique Portal Login Id for each reporting firm that requires you to access the Portal.