(ii) Accounts Controlled by Two or More Persons-Accounts that are subject to day-to-day trading control by two or more persons shall, together with other accounts subject to control by exactly the same persons, be considered a single account. (2) For the purpose of this section 17.00(b), except for the interest of a limited partner or shareholder (other than the CPO) in a commodity pool, the term financial interest shall mean an interest of 10 percent or more in ownership or equity of an account. (c) Customer trading programs and discretionary accounts of traders who are futures commission merchants. For the purpose of paragraph (b) of this section, positions held in a discretionary account, or held in an account, which is part of, participates in, or receives trading advice from a customer trading program of a futures commission merchant, or any of the officers, partners, or employees of such futures commission merchant, shall be considered positions controlled by such futures commission merchant unless: (1) A trader other than the futures commission merchant directs trading in such an account; (2) The futures commission merchant maintains only such minimum control over the trading in such an account as is necessary to fulfill its duty to supervise diligently trading in the account; and (3) Each trading decision of the discretionary account or the customer trading program is determined independently of all trading decisions in other accounts that the futures commission merchant holds, has a financial interest in, or controls. (d) Net positions. Futures commission merchants, clearing members and foreign brokers shall report positions net long or short in each future of a commodity in all special accounts, except as specified in paragraph (e) of this section. (e) Gross positions. In the following cases, the futures commission merchant, clearing member or foreign broker shall report gross long and short positions in each future of a commodity in all special accounts: (1) Positions which are reported to an exchange or the clearinghouse of an ex change on a gross basis, which the exchange uses for calculating total open interest in each future of a commodity (e.g., positions on the New York Mercantile Exchange, the Chicago Mercantile Exchange and the New Orleans Commodity Exchange); (2) Positions in accounts owned or held jointly with another person or persons; (3) Positions in multiple accounts subject to trading control by the same trader. (4) Positions in omnibus accounts. (f) If the total open long positions or the total open short positions for any future of a commodity carried in an omnibus account is a reportable position, the omnibus account is in Special Account status and shall be reported by the futures commission merchant or foreign broker carrying the account in accordance with paragraph (a) of this section. (g) Media and file characteristics. (1) Except as otherwise approved by the Commission or its designee, all required records shall be submitted together in a single file. Each record will be 80 characters long. Specific record formats are given below as a set of Cobol Language descriptions. There are two different record descriptions. The file must begin with a Type I record identifying the sequence of Type II records that follow as series '01 data. (2) The required records are as follows: 01 O-T-Type I RECORD: 05 Filler-PIC X(10) VALUE "X 01 REG”. 05 O-T-REPORT-DATE-PIC X(6). 05 Filler-PIC X(29) VALUE "Spaces". 05 O-T SEQUENCE-NUMBER-PIC (8). 05 Filler-PIC X(27) VALUE "Spaces". 01 O-T-Type II RECORD: 05 O-T-REPORTING-FIRM-NUMBER-PIC 9(5). 05 O-T-REPORT-DATE-PIC 9(6). 174-048 0-97--11 (3) Field definitions for each record are as follows: (i) Reporting firm number. A five digit number assigned by the Commission to each FCM, clearing member and foreign broker which reports series '01 data. (ii) Report date. The date on which the reported positions were held by traders. Dates are encoded in а YYMMDD format where YY is the last 2 digits of the year, MM is the month and DD is the date with a leading 0 for months and days 1-9. (iii) Account number. A unique identifier assigned by the reporting firm to each special account. The field is 0 filled with account number right justified. Assignment of the account number is subject to the provisions of §§ 17.00 (b) and (c) and 17.01(a). (iv) Commodity code. A six character identifier assigned by the CFTC to identify uniquely a contract traded on a specific exchange. The code is in CCMMS format where CCC identifies the commodity, MM identifies the exchange and S distinguishes between two or more contracts specifying delivery of the same commodity on the same exchange. (v) Delivery month. The year and month of delivery specified in the contract in YYMM format. YY is the last two digits of the year and MM specifies the month with a leading 0 for months 1-9. (vi) Sequence number. The number of the record in the file. This number should be right justified and the field 0 filled. (vii) Long (short) position. Reportable long (short) position (if any) in the special account held on the contract market as of the close of business on the report date specified in the same record. Long (short) positions are reported in contracts except for the grains and soybeans. In the grains and soybeans, long (short) positions are reported in thousand bushels (000 omitted). The long (short) position is right justified with the field zero filled. Positions are reported on a net or gross basis in accordance with the provisions of paragraphs (d) and (e) of this section. (viii) Notices issued (stopped). Delivery notices issued by the clearing organiza tion of a contract market on behalf of a special account (stopped by the account) on the report date. Notices issued (stopped) are reported in contracts except for the grains and soybeans. In the grains and soybeans, notices issued (stopped) are reported in thousand bushels (000 omitted). Notices issued (stopped) are right justified, and the field zero filled. (ix) Purchases (sales) of futures in connection with cash commodity transactions. The quantity of long contracts opened and/or short contracts liquidated (short contracts opened and/or long contracts liquidated) as a result of an exchange of futures for physicals. Purchases (Sales) are reported in contracts except for the grains and soybeans. In the grains and soybeans, purchases (sales) are reported in thousand bushels (000 omitted). (h) Correction of errors and omissions. Corrections to errors and omissions in data provided pursuant to §17.00(a) shall be filed on series '01 forms or on computer printouts using a format and coding structure approved by the Commission or its designee. (Approved by the Office of Management and Budget under control number 3038-0009) [41 FR 3207, Jan. 21, 1976, as amended at 44 FR 25434, May 1, 1979; 46 FR 18530, Mar. 25, 1981; 46 FR 54528, Nov. 3, 1981; 46 FR 59965, Dec. 8, 1981; 46 FR 63036, Dec. 30, 1981; 48 FR 52702, Nov. 22, 1983; 49 FR 46117, Nov. 23, 1984; 51 FR 4718, Feb. 7, 1986; 58 FR 33330, June 17, 1993] § 17.01 Special account designation and identification. When a special account is reported for the first time, the FCM, clearing member, or foreign broker shall identify the account to the Commission or to the contract market on form 102 showing the information in paragraphs (a) through (f) of this section. (a) Special account designator. A unique identifier for the account. Provided, that the same designator is assigned for option and futures reporting, and the identifier is not changed or assigned to another account without prior approval of the Commission or its designee. (b) Special account identification. The name, address, business phone, and for individuals, the person's job title and employer for the following: (1) The person originating the account, if the special account is a house omnibus or customer omnibus account; or (2) The person (i.e., individual, corporation, partnership, etc.) who own the special account, if such person (or an employee or officer) also controls the trading of the special account. And, in addition: (i) The registration status of the person as a commodity trading advisor or a securities investment advisor; (ii) the legal organization of the person and the person's principal business or occupation; (iii) account numbers and account names included in the special account, if different than supplied in paragraph (b)(2) of this section; (iv) the name and location of all persons not identified in paragraph (b)(2) of this section having a ten percent or more financial interest in the special account, indicating those having discretionary trading over the account; and (v) for special accounts with five or fewer persons having trading authority, the names and locations of all persons with trading authority that have not been identified in paragraphs (b)(2) or (b)(2)(iv) of this section; or (3) the account controller, if trading of the special account is controlled by a person or legal entity who is an independent account controller for the account owners as defined in §150.1(e). And, in addition: (i) the registration status of the person as a commodity trading advisor or a securities investment advisor; (ii) if ten or more accounts are controlled by the independent advisor, the account number and the name of each commodity pool that is controlled by the advisor and the name and location of the commodity pool operator; (iii) if fewer than ten accounts are under control of the independent advisor, for each account the account number and the name and location of each person having a ten percent or more financial interest in the account. For commodity pools, provide the account number, name of the pool, and name and location of the commodity pool operator; and (iv) on call by the Commission or its designee, for each account controlled by the independent advisor, the account number and account name and the name and location of each person having a ten percent or more financial interest in the account. (c) Other accounts. If the person identified in paragraphs (b)(1), (b)(2) or (b)(3) of this section either controls or has a financial interest of ten percent or more in an account not included in this special account, report the account number and the name of the account. (d) Commercial use. For futures or options, commodities in which positions or transactions in the account are associated with a commercial activity of the account owner in a related cash commodity or activity (i.e., those considered as hedging, risk-reducing, or otherwise off-setting with respect to the cash commodity or activity). (e) Account executive. The name and business telephone number of the associated person of the FCM who has solicited and is responsible for the account or, in the case of an introduced account, the name and business telephone number of the introducing broker who introduced the account. (f) Reporting firm. The name and address of the FCM clearing member, or foreign broker carrying the account, the signature, title, and business phone of the authorized representative of the firm filing the report, and the date of signing the form 102. (g) Form 102 updates. If, at the time an account is in special account status and a form 102 filed by an FCM, clearing member, or foreign broker is then no longer accurate because there has been a change in the information required under paragraph (b) of this section since the previous filing, the FCM, clearing member, or foreign broker shall file an updated form 102 with the Commission or the contract market, as appropriate, within three business days after such change occurs. [61 FR 6312, Feb. 20, 1996] § 17.02 Place and time of filing reports. Unless otherwise instructed by the Commission or its designee, the reports required to be filed by FCMs, clearing members, and foreign brokers under §§ 17.00 and 17.01 shall be filed at the nearest appropriate Commission office as specified in paragraphs (a), (b), and (c) of this section, wherein the times stated are eastern times for information concerning markets located in that time zone, and central time for information concerning all other markets. (a) For data submitted on compatible data processing media: (1) At the Commission's New York or Chicago Regional Office if the information is supplied on magnetic tape or, at the Commission's New York, Chicago or Kansas City Regional Office if the information is supplied on magnetic diskette, at such time as the information is first available provided that it is received in the appropriate office no later than 10:30 a.m. on the business day following that to which the information pertains; (2) At the Commission's Chicago Regional office if the information is submitted via dial-up data transmission at such time as the information is first available provided that it is received in such office not later than 11:00 a.m. on the business day following that to which the information pertains. (b) For data submitted in hard-copy form pursuant to §§ 17.00 (a), or (h) at a Commission office by facsimile or as otherwise specified in accordance with instructions by the Commission or its designee. Data in hard-copy form required under §17.00(a) shall be submitted no later than 9 a.m. on the business day following that to which the information pertains. (c) For data submitted pursuant to §17.01 on the form 102; (1) on call by the Commission or its designee, the type of special account specified in 1(a), 1(b), or 1(c) of form 102, and the name and location of the person to be identified in 1(d) on the form 102 by facsimile or telephone on the same day that the special account in question is first reported to the Commission; and (2) a completed form 102 within three business days of the first day that the special account in question is reported to the Commission. (Approved by the Office of Management and Budget under control number 3038-0009) [51 FR 4719, Feb. 7, 1986, as amended at 61 FR 6313, Feb. 20, 1996] § 17.03 Delegation of authority to the Director of the Division of Economic Analysis and to the Executive Director. The Commission hereby delegates, until the Commission orders otherwise, the authority set forth in paragraphs (a) and (b) of this section to the Director of the Division of Economic Analysis and the authority set forth in paragraph (c) of this section to the Executive Director to be exercised by such Director or by such other employee or employees of such Director as designated from time to time by the Director. (a) Pursuant to §17.00(a) the authority to determine whether futures commission merchants, clearing members and foreign brokers can report the information required under Rule 17.00(a) on series '01 forms or updated Commission supplied computer printouts upon a determination by the Director that such person technologically is unable to provide such information on compatible data processing media. (b) Pursuant to §§ 17.00(h) and 17.02, the authority to approve the format and coding structure for error reports on computer printouts and to instruct and/or approve the time and Commission office at which the information required under Rules 17.00 and 17.01 must be submitted by futures commission merchants, clearing members and foreign brokers provided that such persons are unable to meet the requirements set forth in §17.02; and (c) Pursuant to §17.00(a), the authority to approve the use of data processing media other than compatible data processing media as that term is defined in §15.00(1) and the authority to approve a format and coding structure other than that set forth in §17.00(g). (Approved by the Office of Management and Budget under control number 3038-0009) [51 FR 4719, Feb. 7, 1986] $17.04 Reporting omnibus accounts to the carrying futures commission merchant or foreign broker. (a) Any futures commission merchant, clearing member or foreign broker who establishes an omnibus account with another futures commission merchant or foreign broker shall report to that futures commission merchant or foreign broker the total open long positions and the total open short positions in each future of a commodity, and, for commodity option transactions, the total open put options purchased, the total open put options granted, the total open call options purchased, and the total open call options granted for each commodity option expiration date, in such account at the close of trading each day. The information required by this section shall be reported in sufficient time to enable the futures commission merchant or foreign broker with whom the omnibus account is established to comply with part 17 of these regulations and reporting requirements established by the contract markets. (b) In determining open long and open short futures positions, and open purchased and open granted option positions, in an omnibus account for purposes of complying with §§ 17.00(f), 1.37(b) and 1.58 of this chapter, a futures commission merchant, clearing member or foreign broker shall total the open long positions of all traders and the open short positions of all traders in each future of a commodity, and, for commodity option transactions, shall total the open put options purchased, the open put options granted, the open call options purchased, and the open call options granted of all traders for each commodity option expiration date. The futures commission merchant, clearing member or foreign broker shall, if both open long and short positions in the same future are carried for the same trader, compute open long or open short futures positions as instructed below. (1) Include both the total open long and the total open short positions of the trader if: (1) The positions represent transactions on a contract market which requires long and short positions in the same future held in accounts for the same trader to be recorded and reported on a gross basis; or (ii) The account is an omnibus account of another futures commission merchant or foreign broker; or (2) Include only the net long or net short positions of the trader if the positions represent transactions on a contract market which does not require long and short positions in the same future held in accounts for the same trader to be recorded and reported on a gross basis. (Approved by the Office of Management and Budget under control number 3038-0009) [46 FR 63036, Dec. 30, 1981, and 47 FR 21028, May 17, 1982] PART 18-REPORTS BY TRADERS Sec. 18.00 Information to be furnished by trad ers. 18.01 Interest in or control of several accounts. 18.02 Designation and identification of ac counts. 18.03 Delegation of authority to the Director of the Division of Economic Analysis. 18.04 Statement of reporting trader. 18.05 Maintenance of books and records. 18.06 Use of data-processing media. AUTHORITY: 7 U.S.C. 2, 4, 6a, 6c, 6f, 6g, 61, 6k, 6m, 6n, 12a and 19; 5 U.S.C. 552 and 552(b), unless otherwise noted. § 18.00 Information to be furnished by traders. Every trader who owns, holds or controls, or has held, owned or controlled, a reportable futures or options position in a commodity shall within one business day after a special call upon such trader by the Commission or its designee file reports to the Commission concerning transactions and positions in such futures or options. Reports shall be filed for the period of time that the trader held or controlled a reportable position as instructed in the call. Each such report shall be prepared on the Commission's Large Trader Reporting Form (Form 103) on a separate sheet for each commodity or option, and shall show for the day covered by the report the following information, as specified in the call, separately for each future or option and for each contract market: |