The collection, maintenance, and disclosure of this information is governed by the Privacy Act of 1974 (5 U.S.C. § 552a).
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PURPOSE
The information collected through the Portal is used to support the Commodity Future Trading Commission’s
(“CFTC” or “Commission”) market oversight activities, including: market, risk, and financial surveillance;
monitoring and analyzing the commodity futures and swaps markets;; reviewing activities of registered
entities for compliance with the Commodity Exchange Act and the regulations promulgated thereunder; and
conducting surveillance on both intra- and inter-exchange and across side-by-side electronic trading platforms.
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AUTHORITY
The authority to collect this information derives from the Commodity Exchange Act, 7 U.S.C. §§ 1a, 2, 5, 6,
6a, 6c, 6f, 6g, 6t, 12a, 19, 17 C.F.R. § 20, and the regulations promulgated thereunder.
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ROUTINE USES
When not otherwise prohibited by law, information concerning firms, traders, and their activities may be
disclosed by the Commission in accordance with the routine uses that appear in the Commission’s Privacy Act
system of records notice (SORN),CFTC-15,
Enterprise Surveillance, Oversight & Risk Management System, available at 77 FR 58814 (Sept. 24, 2012).
A complete set of blanket routine uses for Commission SORNs is published in the Federal Register at 76 FR 5974 (Feb. 2, 2011).
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EFFECT OF NOT PROVIDING INFORMATION
Certain personal information is required to register an account on the Portal. Failure to provide this information will
preclude the creation of an account, which may in turn impede communication with the Commission and compliance with reporting
obligations under the Commodity Exchange Act and the regulations promulgated thereunder.
