June 22, 2015

CFTC’s Division of Market Oversight Issues Updated Guidebook and Appendices for Part 20 Reports

Washington, DC — The U.S. Commodity Futures Trading Commission’s (Commission) Division of Market Oversight today issued an updated Guidebook and Appendices for Part 20 Reports. The Guidebook and Appendices provide guidance and detailed instructions for submitting large swaps trader reports to the Commission under Part 20 of the Commission’s regulations.

The Part 20 Guidebook includes reporting formats and record layouts for submitting position reports and 102S filings; a data dictionary for mapping reportable data elements to a record layout; and multiple examples for converting swaps into futures equivalent units as required under Part 20. The Appendices to the Guidebook provide coding schema examples for FpML and FIXML formats.

The Guidebook and Appendices have been updated to include, among other changes, a number of technical corrections and improved FpML and FIXML reporting formats. Some of the technical updates to the Guidebook and Appendices correspond to improved validation rules that Commission staff will use to check Part 20 data submissions.

Commission staff will implement the improved validation rules in a test environment on July 6, 2015. Commission staff expects that the improved validation rules will go live in the production environment on August 31, 2015. For questions regarding the validation rules please contact the Swaps Technical Support team at

On July 22, 2011, the Commission published Part 20 of the Commission’s regulations requiring large trader reports for certain physical commodity swaps. Clearing organizations, clearing members and swap dealers are currently reporting under Part 20 for both cleared and uncleared swaps. The final rule release is located at 74 FR 43851.

Last Updated: June 22, 2015