[33 F.R. 8268, June 4, 1968, as amended at 34 F.R. 813, Jan. 18, 1969]

§ 15.04 Different types of futures contracts in the same commodity.

Where there is trading in more than one type of futures contract in the same commodity for the same delivery month, the quantity of all such types of contracts for such month shall be combined for reporting purposes unless the Act Administrator determines otherwise. (Sec. 5, 42 Stat. 1000, secs. 4g, 41, 49 Stat. 1496, as amended; 7 U.S.C. 7, 6g, 61) [26 F.R. 2969, Apr. 7, 1961]

The reporting requirements contained herein have been approved by the Bureau of the Budget in accord with the Federal Reports Act of 1942 (44 U.S.C., Ch. 12).

Sec.

16.02 Exemption of certain clearing members.

16.03 Errors or omissions.

AUTHORITY: The provisions of this Part 16 issued under sec. 8a, 49 Stat. 1500, as amended; 7 U.S.C. 12a, unless otherwise noted.

SOURCE: The provisions of this Part 16 appear at 26 F.R. 2969, Apr. 7, 1961, unless otherwise noted.

§ 16.00 Information to be furnished by clearing members.

Each clearing member of each contract market shall, on each business day, report the following information, separately for each contract market and for each future of each commodity, on the applicable series 00 form as specified in § 15.02 of this chapter:

(a) The total of all long open contracts and the total of all short open contracts carried by such clearing member at the beginning and at the end of the day covered by the report;

(b) The net position of such clearing member in such contracts at the end of the day covered by the report;

(c) The quantity of such contracts bought and the quantity sold during the day covered by the report; and

(d) The quantity of the commodity delivered and the quantity received in fulfillment of such contracts during the day covered by the report.

(Sec. 5, 42 Stat. 1000, secs. 4g, 41, 49 Stat. 1496, as amended; 7 U.S.C. 7, 6g, 61)

§ 16.01 Time and place of filing reports.

If the clearing member is located in a city where the contract market involved in the reported transactions is located and where the Commodity Exchange Authority maintains an office, reports shall be filed with such office not later than 30 minutes before the official opening of the market on the following business day, except that reports with respect to cotton shall be filed not later than 30 minutes before the official opening of the market on the following business day or 9:30 a.m., local time, on such following business day, whichever is earlier. If the clearing member is located elsewhere, reports shall be mailed to the office of the Commodity Exchange Authority in the city where the contract market involved in the reported transactions is located, provided, that if there is no Commodity Exchange Authority office in such city the report shall be transmitted in ac

made on the appropriate series 01 form and shall show each reportable position, separately for each contract market and for each future, in such account as of the close of the market on the day covered by the report.

(2) A report covering the first day upon which a Special Account shows a reportable position shall also show the position in such future in such account on the preceding business day. A report showing the position in the particular future shall also be filed covering the first day when any account theretofore in Special Account status is no longer in such status.

(b) Interest in or control of several accounts. If any person holds or has a financial interest in or controls more than one account, all such accounts shall be considered by the futures commission merchant or foreign broker as a single account for the purpose of determining Special Account status and for reporting purposes, and the report shall separately show the combined long positions in each future on each contract market in all such accounts, and the combined short positions in each such future in all such accounts.

(Sec. 5, 42 Stat. 1000, sec. 4g, 49 Stat. 1496, as amended; 7 U.S.C. 7, 6g)

§ 17.01 Special Account designation and identification.

For the purpose of reporting, each futures commission merchant and each foreign broker shall assign a number to each Special Account and shall report such account only by such number. When a Special Account is reported for the first time, the futures commission merchant or foreign broker shall execute CEA Form 102, showing the information requested thereon, including the names and addresses of all persons known to have a financial interest in or control over the account to which the number has been assigned, and shall transmit the same with the report but in a separate sealed envelope marked "confidential”. No account number shall be changed or assigned to another account without the prior approval of the Act Administrator. (Sec. 5, 42 Stat. 1000, sec. 4g, 49 Stat. 1496, as amended; 7 U.S.C. 7, 6g)

§ 17.02 Place and time of filing reports.

(a) Futures commission merchants(1) Place of filing reports. The reports required to be filed by futures commission merchants under sections 17 and

17.01 on series 01 forms and Form 102, respectively, must be filed at the Commodity Exchange Authority office in the city in which is located the contract market involved in the reported transactions; except that if there is no Commodity Exchange Authority office in such city, the reports shall be filed in accordance with instructions from the Commodity Exchange Authority.

(2) Time of filing reports. Except as otherwise provided in this paragraph, the reports on series 01 forms and Form 102 shall be filed by futures commission merchants with the appropriate Commodity Exchange Authority office on the business day following the day for which the reports are filed, and not later than 30 minutes before the official opening of the contract market involved in the reported transactions. If the futures commission merchant does not have an office in the city in which the appropriate Commodity Exchange Authority office is located, such reports may be transmitted to such Commodity Exchange Authority office by mail. Each report transmitted by mail must be postmarked not later than midnight of the day covered by the report.

(b) Foreign brokers. The reports required to be filed by foreign brokers under sections 17 and 17.01 on series 01 forms and Form 102, respectively, shall be prepared for each business day on which there are reportable transactions and shall be transmitted to the Commodity Exchange Authority at least once each week. Foreign brokers in Canada or Mexico shall transmit such reports to the Commodity Exchange Authority office in the city in which is located the contract market involved in the reported transactions. If there is no Commodity Exchange Authority office in such city, the reports shall be transmitted in accordance with instructions from the Commodity Exchange Authority. Foreign brokers in other countries shall mail the reports to the Commodity Exchange Authority office in New York, N.Y.

(Sec. 5, 42 Stat. 1000, sec. 4g, 49 Stat. 1496; 7 U.S.C. 7, 6g) [30 F.R. 14973, Dec. 3, 1965]

§ 18.00 Information to be furnished by traders.

Every trader who holds or controls a reportable position shall submit reports to the Commodity Exchange Authority. A report shall be filed for the first day on which such trader acquires a reportable position, for each day thereafter on which he has transactions in any future of such commodity on any contract market or delivers or receives delivery of such commodity, and for the first day on which he no longer holds or controls a reportable position. Each such report shall be prepared on the appropriate series 03 form, on a separate sheet for each commodity, and shall show for the day covered by the report the following information, separately for each future and for each contract market:

(a) Open contracts. The quantity of all open contracts, regardless of size, in each future of such commodity on all contract markets, broken down to show the quantity classified as hedging (as defined in section 4a of the act) and the quantity classified as speculative (including spreading or straddling);

(b) Purchases and sales. The quantity of each future of such commodity bought and the quantity sold on all contract markets;

(c) Deliveries and receipts. The quantity of the commodity delivered and the quantity received, in fulfillment of such futures contracts on all contract markets;

(d) Intermarket spreads. To the extent that any futures position or transaction on any foreign market, in wheat, corn, oats, barley, flaxseed, or cotton, is claimed to represent one leg of an intermarket spread or straddle, or the closing of an intermarket spread or straddle, against any position on a contract market, or against any purchase or sale of futures on a contract market during any one business day, in excess of 2,000,000 bushels of wheat, corn, oats, barley, or flaxseed futures or 30,000 bales of cotton futures (§§ 150.1, 150.2 of this

chapter), such trader shall also show on the report the quantity and future involved in such foreign position or transaction and the name of the foreign market;

(e) Wool and wool top futures. If such trader holds or controls a reportable position in any one wool future or in any one wool top future, the report shall include all transactions and positions in wool futures and in wool top futures on all contract markets;

(f) Shell eggs and frozen eggs. Any trader who holds a reportable position in any one future of shell eggs, frozen whole eggs, frozen plain egg whites, or frozen plain egg yolks, shall include all transactions and positions in all futures in shell eggs, frozen whole eggs, frozen plain egg whites, and frozen plain egg yolks; and

(g) Live cattle futures. Any trader who holds or controls a reportable position in any one future of any one type of live cattle contract shall include all transactions and positions in all futures of all types of live cattle contracts on all contract markets.

(Secs. 4a(3), 41, 49 Stat. 1493, 1496, as amended; 7 U.S.C. 68(3), 61) [26 F.R. 2970,

Apr. 7, 1961, as amended at 28 F.R. 6266, June 19, 1963; 33 F.R. 8268, June 4, 1968] § 18.01

Interest in or control of several

accounts.

(a) Multiple accounts. If any trader holds or has a financial interest in or controls more than one account, whether carried with the same or with different futures commission merchants or foreign brokers, all such accounts shall be considered as a single account for the purpose of determining whether such trader has a reportable position and for the purpose of reporting.

(b) Net positions. The reporting trader shall report the net open contracts, long or short, in each future of such commodity in all such accounts, except as specified in paragraph (c) of this section.

(c) Gross positions. In the following cases, the reporting trader shall report the gross open contracts, i.e., total long open contracts and total short open contracts in each future of such commodity in all such accounts:

(1) Positions on the New York Mercantile Exchange;

(2) Positions on the Chicago Mercantile Exchange;

(3) Positions on any exchange carried through different futures commission merchants or foreign brokers;

(4) Positions which represent spreads between round lots and job lots, or spreads between different types of contracts in the same commodity;

(5) Positions against which notices have been stopped or issued, but upon which actual delivery has not been made;

(6) Positions in accounts owned or held jointly with another person or persons; and

(7) Positions in accounts subject to trading control by the reporting trader, but in which he has no interest as an

owner.

(d) Reporting of controlled accounts. The trader shall show, at the bottom of the appropriate series 03 report or on a continuation sheet a breakdown or listing of the names of all such accounts, including joint accounts, and their respective positions on his first report after acquiring a reportable position, and once a month thereafter, as of the last business day of the month, unless the Act Administrator approves a different date for such reporting. On this report, regardless of whether he has any transactions for that day, the trader shall show a complete listing of all such accounts and their individual positions on that day. During the month, the trader shall show at the bottom of each report he files, any new such account and any such account that is no longer participating, at the time any change occurs in his group of such participating or controlled accounts.

(Sec. 41, 49 Stat. 1496, as amended; 7 U.S.C. 61) [26 F.R. 2970, Apr. 7, 1961, as amended at 33 F.R. 8268, June 4, 1968]

§ 18.02 Designation and identification of accounts.

The Commodity Exchange Authority will assign a code number by means of which the reporting trader may identify the account in all reports.

(Sec. 41, 49 Stat. 1496, as amended; 7 U.S.C. 61) [26 F.R. 2970, Apr. 7, 1961]

§ 18.03 Time and place of filing reports.

If the reporting trader is located in a city in which the Commodity Exchange Authority maintains an office, reports shall be filed with such office not later than 9 a.m., local time, of the business

day following the day covered by the report. If the reporting trader is located elsewhere, reports shall be transmitted by mail, postmarked not later than midnight of the day covered by the report, as follows:

(a) Reports with respect to transactions in wheat, corn, oats, rye, barley, flaxseed, soybeans, grain sorghums, butter, eggs, lard, tallow, soybean oil, cottonseed meal, soybean meal, millfeeds, live cattle, cattle products, live hogs, frozen pork bellies, and frozen skinned hams to the Commodity Exchange Authority office in Chicago, Ill., unless otherwise specifically instructed by the Commodity Exchange Authority.

(b) Reports with respect to transactions in cotton, wool, wool tops, potatoes, cottonseed oil, hides, and frozen concentrated orange juice to the Commodity Exchange Authority office in New York, N.Y., unless otherwise specifically instructed by the Commodity Exchange Authority.

(Sec. 41, 49 Stat. 1496, as amended; 7 U.S.C. 61) [26 F.R. 2970, Apr. 7, 1961, as amended at 33 F.R. 8268, June 4, 1968; 34 F.R. 813, Jan. 18, 1969]

§ 18.04 Information required upon re

quest.

Every trader who holds or controls a reportable position shall, upon request by the Act Administrator, furnish to the Commodity Exchange Authority in accordance with its instructions, the following information:

(a) The address of the reporting trader;

(b) The nature of the commodity futures account, i.e., individual, joint, partnership, corporation, or other;

(c) The principal business or occupation of the reporting trader;

(d) If the reporting trader is a partnership, the name and address of each partner;

(e) If the reporting trader is a corporation, the names and addresses of the person or persons who direct trading activities, the parent corporation, if any, and subsidiaries or affiliates, if any;

(f) The name and address of each person whose commodity futures account is controlled by the reporting trader; and

(g) The name and address of each person who controls, or has a financial interest in, or guarantees the account of the reporting trader.

(Sec. 41, 49 Stat. 1496, as amended; 7 U.S.C. [26 F.R. 2971, Apr. 7, 1961]

61)

§ 18.05 Maintenance of books and rec ords.

Every trader who holds or controls a reportable position shall keep books and records showing all details concerning all positions and transactions for future delivery in the commodity on all contract markets and all positions and transactions in the cash commodity, its products, and byproducts, and shall upon request furnish to the Act Administrator any pertinent information concerning such positions and transactions.

(Secs. 41, 8a, 49 Stat. 1496, 1500, as amended; 7 U.S.C. 61, 12a) [30 F.R. 6941, May 22, 1965]

NOTE: The reporting and record keeping requirements contained herein have been approved by the Bureau of the Budget in accordance with the Federal Reports Act of 1942 (44 U.S.C. Ch. 12).

PART 19-REPORTS BY MERCHANTS, PROCESSORS, AND DEALERS

Sec. 19.00 Information to be furnished by merchants, processors, and dealers. 19.01 Merchants, processors, and dealers in certain grains and grain products. 19.02 Merchants, processors, and dealers in cotton and cotton products.

19.03 Merchants, processors, and dealers in eggs and egg products.

19.04 Merchants, processors, and dealers in potatoes and potato products. 19.05-19.09 [Reserved]

19.10 Time and place of filing reports.

AUTHORITY: The provisions of this Part 19 issued under sec. 8a, 49 Stat. 1500, as amended; 7 U.S.C. 12a, unless otherwise noted.

SOURCE: The provisions of this Part 19 appear at 26 F.R. 2971, Apr. 7, 1961, unless otherwise noted.

§ 19.00 Information to be furnished by merchants, processors, and dealers. Every person engaged in merchandising, processing, or dealing in any of the commodities or products listed in § 19.01, 19.02, 19.03, or 19.04, who holds or controls a reportable position in such commodity or commodities, shall submit a report to the Commodity Exchange Authority on the appropriate series 04 form, which shall show the information hereinafter specified. All such reports shall show such information as of the close of business on Friday of each week, unless a different reporting period is authorized in writing by the Commodity Exchange Authority.

[30 F.R. 1192, Feb. 4, 1965]