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e-CFR data is current as of October 19, 2020

Title 17Chapter IPart 151 → §151.10

Title 17: Commodity and Securities Exchanges

§151.10   Form and manner of reporting and submitting information or filings.

Unless otherwise instructed by the Commission or its designees, any person submitting reports under this section shall submit the corresponding required filings and any other information required under this part to the Commission as follows:

(a) Using the format, coding structure, and electronic data transmission procedures approved in writing by the Commission; and

(b) Not later than 9 a.m. Eastern Time on the next business day following the reporting or filing obligation is incurred unless:

(1) A 404A filing is submitted pursuant §151.5(d), in which case the filing must be submitted at least ten business days in advance of the date that transactions and positions would be established that would exceed a position limit set forth in §151.4;

(2) A 404 filing is submitted pursuant to §151.5(c) or a 404S is submitted pursuant to §151.5(f), the filing must be submitted not later than 9 a.m. on the third business day after a position has exceeded the level in a Referenced Contract for the first time and not later than the third business day following each calendar month in which the person exceeded such levels;

(3) The filing is submitted pursuant to §151.6, then the 401 or 404, or their respective alternatives as provided for under §151.6(d), shall be submitted within ten business days following the quarter in which the person holds a position in excess in the visibility levels provided in §151.6(a); or

(4) A notice of disaggregation is filed pursuant to §151.7(h), in which case the notice shall be submitted within five business days of when the person claims a disaggregation exemption.

(e) When the reporting entity discovers errors or omissions to past reports, the entity so notifies the Commission and files corrected information in a form and manner and at a time as may be instructed by the Commission or its designee.

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