Large Trader Reports

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form 102 Large Trader Reports	Form	Modified	Available
3038-0009 - Proposed Rule (12-12-08).pdf	Supplementary Document	Uploaded 2009-02-18	Available
[12-2008]-Supprting Statmt for PR-15-21 .doc	Supporting Statement A	Uploaded 2008-12-12	Source copy available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
29017	Large Trader Reports	Form	Modified

ICR Details

OMB Control No: 3038-0009	ICR Reference No: 200910-3038-003
Status: Historical Active	Previous ICR Reference No: 200810-3038-001
Agency/Subagency: CFTC	Agency Tracking No:
Title: Large Trader Reports
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 10/28/2009
	Date Received in OIRA: 10/28/2009
Terms of Clearance: Pre-approval contingent upon no substantive changes to this collection after adoption of the final rule. Otherwise this collection should be re-submitted to OMB for review.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/29/2012	36 Months From Approved	10/31/2009
Responses	76,314	0	62,420
Time Burden (Hours)	22,628	0	18,574
Cost Burden (Dollars)	0	0	0

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Abstract: This data collection operation relates to the Federal regulation of contract markets, clearing members, futures commission merchants, foreign brokers, and large traders holding futures and options positions in commodities.

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Authorizing Statute(s): US Code: 7 USC 2 Name of Law: Exempt Markets
   US Code: 7 USC 6a, 6c, 6g, 6i Name of Law: Exempt Markets
   US Code: 7 USC 7, 7a Name of Law: Exempt Markets
   US Code: 7 USC 12a Name of Law: Exempt Markets
   US Code: 7 USC 1, 1a Name of Law: Exempt Markets
  

Citations for New Statutory Requirements: US Code: 7 USC 6a, 6c, 6g, 6i, Name of Law: Exempt Markets
US Code: 7 USC 7, 7a Name of Law: Exempt Markets
US Code: 7 USC 2 Name of Law: Exempt Markets
US Code: 7 USC 12a Name of Law: Exempt Markets
US Code: 7 USC 1, 1a Name of Law: Exempt Markets

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3038-AC48	Final or interim final rulemaking	74 FR 12178	03/23/2009

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Large Trader Reports	102, 40, 204, 304	Identification of Special Accounts ,   Statement of Reporting Trader ,   Statement of Cash Positions in Grains, Soybeans, Soybean Oil, and Soybean Meal ,   Statement of Cash Positions in Cotton

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	76,314	62,420	0	13,894	0	0
Annual Time Burden (Hours)	22,628	18,574	0	4,054	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The program changes with respect to the increase in numbers and time burden are the result of expanding CFTC's Regulatory Authority over exempt commercial markets (ECMs) that had heretofore operated largely outside the Commission's regulatory reach by creating a new regulatory category. (17 CFR Part 21).

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 12/19/2008

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