Commodity Futures Trading Advisor Recordkeeping Form
Use this form to log advisor, client, trading, communication, and compliance recordkeeping details for commodity futures advisory activity.
Advisor and Client Record Context
Advisor Name
*
Firm Name
*
Client or Account Identifier
Advisory Engagement or Strategy Name
*
Record Entry Date
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Trading Activity Details
Trade Date/Time
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Hour Minutes
AM
PM
AM/PM Option
Commodity or Contract Name
*
Action Type
*
Recommendation
Execution Instruction
Executed Review
Hedge Update
Allocation Update
Other
Quantity or Contract Count
*
Strategy or Rationale Notes
*
Communication and Compliance Log
Communication Method
*
Email
Phone
Meeting
Portal Message
Other
Communication Summary
*
Compliance or Exception Notes
Supporting Document Reference / File Upload
Upload a File
Drag and drop files here
Choose a file
Cancel
of
Retention or Review Status
*
Filed
Pending Review
Needs Follow-up
Archived
Submit Record
Should be Empty: