Publications

Primer on CFTC Form 40 and Related Reporting and Recordkeeping Requirements

December 1, 2008
SRZ Client Memorandum

In view of the apparent increase in the number of Commodity Futures Trading Commission (“CFTC”) Form 40 requests received by our fund clients lately, we thought it would be helpful to briefly outline the circumstances that result in the receipt of a Form 40 request, as well as the CFTC reporting and recordkeeping requirements for Form 40.