[Code of Federal Regulations]
[Title 17, Volume 1]
[Revised as of April 1, 2006]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR21.02]

[Page 328]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
 
PART 21_SPECIAL CALLS--Table of Contents
 
Sec.  21.02  Special calls for information on open contracts in accounts 
carried or introduced by futures commission merchants, members of 
contract markets, introducing brokers, and foreign brokers.

    Upon special call by the Commission for information relating to 
futures and/or option positions held or introduced on the dates 
specified in the call, each futures commission merchant, member of a 
contract market, introducing broker, or foreign broker, and, in 
addition, for option information each contract market, shall furnish to 
the Commission the following information concerning accounts of traders 
owning or controlling such futures and/or option positions, except for 
accounts carried on a fully disclosed basis by another futures 
commission merchant, as may be specified in the call:
    (a) The name, address, and telephone number of the person for whom 
each account is carried;
    (b) The principal business or occupation of the person for whom each 
account is introduced or carried, as specified in the call;
    (c) The type of each such account;
    (d) The name, address and principal business or occupation of any 
person who controls the trading of each account;
    (e) The name and address of any person having a financial interest 
of ten percent or more in each account;
    (f) The number of open futures and/or option positions introduced or 
carried in each account, as specified in the call; and
    (g) As applicable, the following identifying information:
    (1) Whether a trader who holds commodity options is classified as a 
commercial or as a noncommercial for each commodity option;
    (2) Whether the open commodity futures contracts are classified as 
speculative, spreading (straddling), or hedging; and
    (3) Whether any of the accounts in question are omnibus accounts 
and, if so, whether the originator of the omnibus account is another 
futures commission merchant or foreign broker.

(Approved by the Office of Management and Budget under control number 
3038-0017)

[46 FR 63036, Dec. 30, 1981, and 47 FR 57016, Dec. 22, 1982, as amended 
at 48 FR 35301, Aug. 3, 1983; 49 FR 1339, Jan. 11, 1984; 51 FR 4720, 
Feb. 7, 1986]

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