Form TER

COMMODITY FUTURES TRADING COMMISSION

FORM TER
LISTED SWAPS SUBJECT TO THE TRADE EXECUTION REQUIREMENT
INSTRUCTIONS
Intentional misstatements or omissions of material fact may constitute federal
criminal violations (7 U.S.C. 13 and 18 U.S.C. 1001).
DEFINITIONS
Unless the context requires otherwise, all terms used in this Form TER have the same
meaning as in the Commodity Exchange Act, as amended (“CEA” or “Act”), and in the
General Rules and Regulations of the Commodity Futures Trading Commission
(“Commission”) thereunder (17 CFR chapter I).
GENERAL INSTRUCTIONS
1. This Form TER, which includes instructions, is to be filed with the Commission
by a designated contract market (“DCM”) or swap execution facility (“SEF”) for
a swap or a group, category, type, or class of swaps, that is subject to or that
becomes subject to the clearing requirement of section 2(h)(1) of the Act that the
DCM or SEF lists for trading.
2. Individuals’ names, except the executing signature, shall be given in full (Last
Name, First Name, Middle Name).
3. Signatures on all copies of the Form TER filed with the Commission can be
executed electronically. If this Form TER is filed by a corporation, it shall be
signed in the name of the corporation by a principal officer duly authorized; if
filed by a limited liability company, it shall be signed in the name of the limited
liability company by a manager or member duly authorized to sign on the limited
liability company’s behalf; if filed by a partnership, it shall be signed in the name
of the partnership by a general partner duly authorized; if filed by an
unincorporated organization or association which is not a partnership, it shall be
signed in the name of such organization or association by the managing agent,
i.e., a duly authorized person who directs or manages or who participates in the
directing or managing of its affairs.
4. If any item is inapplicable, indicate by “none,” “not applicable,” or “N/A,” as
appropriate.
5. The Commission may determine that additional information is required from the
DCM or SEF in order to process its filing. A Form TER that is not prepared
and executed in compliance with applicable requirements and instructions

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CFTC Form TER
may be returned as not acceptable for filing. Acceptance of this Form TER,
however, shall not constitute a finding that the Form TER has been filed as
required or that the information submitted is true, current, or complete.
6. The information submitted on this Form TER will be published and maintained on
the Commission’s website and be available for inspection by any interested
person.
AMENDMENTS
1. When filing this Form TER for purposes of amending a prior filing pursuant to
§ 36.2 of the Commission’s regulations (17 CFR 36.2), a DCM or SEF must file a
complete form that is marked to show changes as applicable.
2. Amendments shall be signed on behalf of the DCM or SEF by a duly authorized
representative.
WHERE TO FILE
This Form TER must be filed electronically with the Secretary of the Commission in the
manner specified by the Commission.

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CFTC Form TER
COMMODITY FUTURES TRADING COMMISSION

FORM TER
LISTED SWAPS SUBJECT TO THE TRADE EXECUTION REQUIREMENT

Registered Entity Identifier Code (optional):
________________________________________
Organization:
_________________________________________________________________
Filing as a: ___ DCM

___ SEF

† If this is an INITIAL filing of Form TER, complete in full and check here.
† If this is an AMENDMENT to a previously filed Form TER, complete in full, list all
items that are amended and check here.
SIGNATURES
The DCM or SEF has duly caused this Form TER or amendment to be signed on its
behalf by the undersigned, hereunto duly authorized, this ____ day of __________,
20___. The undersigned represents hereby that all information contained herein is
true, current, and complete. It is understood that all required items are considered
integral parts of this Form TER and that the submission of any amendment represents
that all unamended items remain true, current, and complete as previously filed.
_____________________________________________________________________
Name of DCM or SEF
_____________________________________________________________________
Signature of Duly Authorized Person
_____________________________________________________________________
Print Name and Title of Signatory

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CFTC Form TER
GENERAL INFORMATION – EXHIBIT INSTRUCTIONS
1. The following Exhibit(s) must be filed with the Commission for each swap, or
any group, category, type, or class of swaps that the DCM or SEF lists for trading
that is subject to the clearing requirement under section 2(h)(1) of the Act as set
forth in § 50.4 of the Commission’s regulations (17 CFR 50.4).
2. An Exhibit must be labeled and include the information as specified in this Form
TER. The following tables are the required template and must be reproduced for
each contract listing, as appropriate.

EXHIBIT A-1 – INTEREST RATES
1. Attach as Exhibit A-1, the interest rate contracts the DCM or SEF lists for trading
that are subject to the clearing requirement.
Product Class/Specification
Currency
Floating Rate Index
Stated Termination Date
Range
Optionality
Dual Currencies
Conditional Notional Amounts
EXHIBIT A-2 – CREDIT
2. Attach as Exhibit A-2, the credit contracts the DCM or SEF lists for trading that
are subject to the clearing requirement.
Product Class/Specification
Reference Entities
Region
Indices
Tenor
Applicable Series
Tranched

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