OCR Glossary

Account Category
A reporting identifier used to distinguish whether an account will be reported to the CFTC on a Form 102A, Form 102B, or Form 102S.

Automatic Permission Inheritance
When two Profiles are in a Primary-Secondary Relationship and a Permission is established for the Primary Profile, the system’s action of assigning the same Permission to the Secondary Profile.

CftcBatch file (aka Trigger File)
File in Extensible Markup Language (XML) format that FIA Tech receives daily from Reporting Firms or their representatives identifying Accounts that reached a volume of trading sufficient to trigger Form 102 reporting during the trading day. Also refers to the XML files transmitted to the destination containing Form 102 reports.

Client
Organization that is an Owner or Controller of a Special or Trading Account, originator of an Omnibus Account, or Owner or Controller of a Consolidated Account.

Consolidated Account
Counterparty-oriented Account Category used to file Form 102S.

Default Controller
For Trading Accounts only, a Controller identified by the system based on the Owner’s Profile. When the Owner’s Profile is associated to the Trading Account, association of the Default Controller is automatic. To override the Default Controller, the Reporting Firm must associate a Profile in the role of Controller, which causes the Default Controller to be removed.

Destination
Entity, such as the CFTC or an exchange, that has been designated to receive Form 102 reporting generated by the OCR Data Service.

Domestic FCM
A U.S. Futures Commission Merchant that executes trades on behalf of a Foreign Broker.

FIA Tech OCR Portal
Web-based interface for users to enter and review data required for ownership and control reporting.

FIA Tech User Hub
Central access point for establishing user credentials and access to FIA Tech web-based services.

FIABatch file
File in XML format containing owner and controller information generated by the OCR Data Service and provided to Reporting Firms for review of their reference data used for Form 102 reporting. FIA Tech also receives FIABatch files from Reporting Firms with new data and corrections to data already entered in the system.

Legal Entity
An organization or corporation created to act as a single entity with legal person status but is not a Natural Person.

Market Association
For a Trading Account, designation of each reporting market in which the Account is to be reported, together with the identification of Short Codes used.

Natural Person
An individual human being.

OCR Data
Ownership and control information that is reported to the CFTC on Form 102A, Form 102B, Form 102S, Form 40, and Form 71 when required.

OCR Profile ID
A unique identification number assigned by the system to each Profile.

Participant
Organization within which users share Account and Profile information. Reporting Firms must be established within the OCR Data Service as Participants.

Primary-Secondary Profile Relationship
The linkage between any Profile and the Profile of the Main Contact or Employer that is identified within its Natural Person or Legal Entity Information.

Profile
A collection of data fields describing a specific Legal Entity or Natural Person that is entered within the OCR Data Service.

Profile Association
Linkage within an Account to a Profile. Profile association may be for an Owner, Controller, Domestic FCM, or Omnibus Originator.

Profile Manager
User designated by User Name or Participant Code who is able to edit a Profile.

Reporting Firm
Futures commission merchants, clearing members, foreign brokers, and swap dealers who are required to report OCR data under the OCR Final Rule.

Short Code
A trading alias, possibly appearing on an exchange trade register, used to identify a Client at a level above specific clearing account number.

Special Account
Account Category that represents an aggregation of certain Trading Accounts at a Reporting Firm that is reported on a Form 102A. The Trading Accounts may share a common Owner, Controller, Owner & Controller, or the Special Account may be an Omnibus Account.

Special Account Association
Linkage within a Trading Account to a Special (102A) Account

Trading Account
Account Category for executing, clearing, omnibus, or other account used to facilitate transactions and hold positions in one or more investment vehicles.

Trading Account Association
Linkage within a Special (102A) Account to a Trading Account.