17 CFR § 210.12-13A - Open futures contracts.

---
identifier: "/us/cfr/t17/s210.12-13A"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "17 CFR § 210.12-13A - Open futures contracts."
title_number: 17
title_name: "Commodity and Securities Exchanges"
section_number: "210.12-13A"
section_name: "Open futures contracts."
chapter_name: "SECURITIES AND EXCHANGE COMMISSION"
part_number: "210"
part_name: "FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975"
positive_law: false
currency: "2026-04-05"
last_updated: "2026-04-05"
format_version: "1.1.0"
generator: "[email protected]"
authority: "15 U.S.C. 77f, 77g, 77h, 77j, 77s, 77z-2, 77z-3, 77aa(25), 77aa(26), 77nn(25), 77nn(26), 78c, 78j-1, 78l, 78m, 78n, 78o(d), 78q, 78u-5, 78w, 78ll, 78mm, 80a-8, 80a-20, 80a-29, 80a-30, 80a-31, 80a-37(a), 80b-3, 80b-11, 7202 and 7262, and sec. 102(c), Pub. L. 112-106, 126 Stat. 310 (2012), unless otherwise noted."
cfr_part: "210"
---


# 210.12-13A Open futures contracts.

**[For management investment companies only]**

| Col. A | Col. B | Col. C | Col. D | Col. E | Col. F |
| --- | --- | --- | --- | --- | --- |
| Description | Number of contracts | Expiration date | Notional amount | Value | Unrealized appreciation/depreciation. |
| Information as to long purchases of futures contracts shall be shown separately from information as to futures contracts sold short. |  |  |  |  |  |
| Futures contracts where descriptions or expiration dates differ shall be listed separately. |  |  |  |  |  |
| Description should include the name of the reference asset or index. |  |  |  |  |  |
| Indicate by an appropriate symbol each investment which cannot be sold because of restrictions or conditions applicable to the investment. |  |  |  |  |  |
| Indicate by an appropriate symbol each investment whose value was determined using significant unobservable inputs. |  |  |  |  |  |
| Notional amount shall be the current notional amount at close of period. |  |  |  |  |  |

[81 FR 82017, Nov. 18, 2016]