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]

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. 6a(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

ords.

(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 request.

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. 61) [26 F.R. 2971, Apr. 7, 1961]

Every trader who holds or controis 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).

§ 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]

§ 19.01 Merchants, processors, and dealers in certain grains and grain products.

(a) Details of cash commodity position. Merchants, processors and dealers in wheat, corn, oats, rye, barley flaxseed, soybeans, or grain sorgums, or the products or byproducts thereof, shall include the following information in each report:

(1) The make-up of the fixed-price cash grain position, including (i) the stocks of such commodities and their products or by-products owned; (ii) the quantity of fixed-price purchase commitments open in such commodities and their products and by-products; and (iii) the quantity of fixed-price sales commitments open in such commodities and their products and by-products; and

(2) The unfixed-price purchase and unfixed-price sales commitments in such commodities and their products and byproducts.

(b) Standards and conversion factors. Every such merchant, processor, or dealer shall, in computing his cash position, use such standards and conversion factors with respect to products or byproducts as are usual in the particular grain trade. If it is the regular business practice of such merchant, processor or dealer to exclude certain products or byproducts in determining his cash position for hedging (as defined in section 4a of the act), the same shall be excluded in the report. Such merchant, processor, or dealer shall furnish to the Commodity Exchange Authority upon request detailed information concerning the kind and quanitiy of each product or by-product so excluded.

(Sec. 41, 49 Stat. 1496, as amended; 7 U.S.C. 61)

§ 19.02 Merchants, processors, and dealers in cotton and cotton products. (a) Details of cotton position. Merchants, processors, and dealers in cotton and cotton products or by-products, including cotton yarn and cotton cloth, shall include the following information in each report:

(1) The quantity of open contracts held in all cotton futures on all contract markets, by markets and by futures;

(2) The market position;

(3) The make-up of the net fixedprice spot cotton position;

(4) The make-up of the hedgeable interest in spot cotton;

(5) The make-up of the basis position in spot cotton;

(6) The fixed-price spot cotton positions, long and short;

(7) The quantity of certificated cotton owned; and

(8) The quantity of call cotton bought or sold on which the price has not been fixed, together with the respective futures on which based. As used herein, call cotton refers to spot cotton bought or sold, or contracted for purchase or sale, at a price to be fixed later based upon a specified future.

(b) Standards and conversion factors. Every such merchant, processor, or dealer, in computing his spot position, shall use such standards and conversion factors with respect to cotton products or by-products as are usual in the cotton trade. If it is the regular business practice of such merchant, processor, or dealer to exclude certain items, products, or by-products in determining his spot position for hedging (as defined in section 4a of the act), the same shall be excluded in the report. Such merchant, processor, or dealer shall furnish to the Commodity Exchange Authority upon request detailed information concerning the kind and quantity of each item, product or byproduct so excluded. (Sec. 41, 49 Stat. 1496, as amended; 7 U.S.C. 61)

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

(a) Details of cash egg position. Merchants, processors, and dealers in eggs and egg products shall show in each report the make-up of the cash egg position, as determined by stocks owned, unfilled fixed-price purchase commitments, and unfilled fixed-price sales commitments, with respect to: (1) Shell eggs (in cold storage and elsewhere); (2) frozen whole eggs; (3) frozen plain egg whites; (4) frozen plain egg yolks; and (5) egg products.

(b) Exclusions in determining cash egg position. If it is the regular business practice of such merchant, processor, or dealer to exclude certain eggs not in cold storage or certain egg products in determining his cash position for hedging (as defined in section 4a of the act), the same shall be excluded in the report. Such merchant, processor, or dealer shall furnish to the Commodity Exchange Authority upon request de

tailed information concerning the eggs or egg products so excluded.

(Sec. 41, 49 Stat. 1496, as amended; 7 U.S.C. 61)

§ 19.04 Merchants, processors, and dealers in potatoes and potato products. (a) Details of cash (spot) potato position. Merchants, processors, and dealers in potatoes and potato products shall show in each report the amount of:

(1) Potatoes being raised or expected to be raised by such persons in the ensuing 12 months, including the potato acreage in each State;

(2) Stocks of potatoes owned;

(3) Unfilled fixed-price purchase commitments of potatoes;

(4) Unfilled fixed-price sales commitments of potatoes; and

(5) Stocks of potato products owned or potatoes in process of manufacture, unfilled fixed-price purchase commitments, and unfilled fixed-price sales commitments of potato products, identified as to kind of product.

(b) Standards and conversion factors. Every such merchant, processor, or dealer shall, in computing his cash (spot) position, use such standards and conversion factors with respect to potato products as are usual in the potato trade. If it is the regular business practice of such merchant, processor, or dealer to exclude certain potato products in determining his cash (spot) position for hedging (as defined in section 4a of the act), the same shall be excluded in the report. Such merchant, processor, or dealer shall furnish to the Commodity Exchange Authority upon request detailed information concerning the potato products so excluded.

[30 F.R. 1191, Feb. 4, 1965] §§ 19.05-19.09

[Reserved]

§ 19.10 Time and place of filing reports.

If the reporting merchant, processor. or dealer is located in a city in which the Commodity Exchange Authority has an office, reports shall be filed with such office not later than the first business day following the week or other period covered by the report. If the reporting merchant, processor, or dealer is located elsewhere, reports shall be transmitted by mail, postmarked not later than midnight of the first business day following

the week or other period covered by the report, as follows:

(a) Reports with respect to transactions in wheat, corn, oats, rye, barley, flaxseed, soybeans, grain sorghums, and eggs-to the Commodity Exchange Authority office in Chicago, Illinois, unless otherwise specifically authorized by the Commodity Exchange Authority.

(b) Reports with respect to transactions in cotton and potatoes-to the Commodity Exchange Authority office in New York, N.Y.

(Sec. 41, 49 Stat. 1496, as amended; 7 U.S.C. 61) [26 F.R. 2971, Apr. 7, 1961, as amended at 30 F.R. 1192, Feb. 4, 1965]

NOTE: The reporting requirements contained herein have been approved by the Bureau of the Budget in accordance with the Federal Reports Act of 1942.

PART 20-REPORTS BY MEMBERS OF CONTRACT MARKETS

§ 20.00

Uncleared transactions.

(a) Each member of a contract market who executes uncleared transactions in any commodity future on any contract market, commonly called "pass-outs", shall report such transactions to the Commodity Exchange Authority in accordance with its instructions, showing whether the transaction is a purchase or sale; the date, market, commodity, future, quantity, and price; the name of the opposite party to the transaction; and such other information as may be required.

(b) The requirements of this section shall not apply to any member of a contract market whose uncleared transactions are recorded on the books of a clearing member or members of such contract market and are included in the reports furnished to the Commodity Exchange Authority by such clearing member or members.

(Secs. 5, 8a, 42 Stat. 1000, 1500, as amended; 7 U.S.C. 7, 12a) [26 F.R. 2972, Apr. 7, 1961]

PART 21-SPECIAL CALLS FOR INFORMATION FROM FUTURES COMMISSION MERCHANTS, FOREIGN BROKERS, AND MEMBERS OF CONTRACT MARKETS

Sec.

21.00 Preparation and transmission of information upon special call.