CFTC's Oversight Programs of Registered Entities

• Market Surveillance of Products Listed by Registered Entities
  • Backgrounder on the Surveillance Program
  • Backgrounder on Speculative Limits
  • Speculative Limits for Major Contracts
  • CFTC Reports about Active Markets
    • Commitments of Traders
    • Deliveries on CBOT US Treasury Bond/Note Futures
    • Bank Participation in Futures and Options Market Reports
    • Cotton "on-call" Report
  • Backgrounder on the Commitments of Traders Report
    
• Large Trader Reporting (LTR)
  • Backgrounder on the CFTC's LTR Program
  • CFTC Forms
  • Federal Reporting Levels
  • Exchange Codes and Strike Price Formats
  • PERT (Position Entry for Reportable Traders)
  • Large Trader Record Format
    
• Oversight of Intermediaries
  • Selected Financial Data for Futures Commission Merchants (FCMs)
  • Reviews of Financial, Sales Practice and Other Compliance Programs
    
• Exchange Supervision
  • Reviews of Designated Contract Markets
  • Reviews of Derivatives Transaction Execution Facilities
  • Reviews of Designated Clearing Organizations
  • Payment of Fees to the CFTC

In addition to the CFTC's oversight programs, designated contract markets, derivatives transaction execution facilities (DTEFs) and designated clearing organizations (DCOs) also have self-regulatory responsibilities. Designated contract markets must meet on an ongoing basis 18 core principles, DTEFs must comply with nine core principles, and DCOs must comply with 14 core principles.

International Standards on the Supervision of Futures Exchanges

• Tokyo Communiqué on Supervision of Commodity Futures Markets, October 1997
• Applicability of the Surveillance Guidance to Other Exchange-Traded Derivatives Products