Position Limits for Futures and Swaps

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0077 can be found here:

Documents and Forms

Document Name Document Type
Form 401 Position Limits for Futures and Swaps Form and Instruction
401 Position Visibility Reporting Position_limits_CFTC FORM 401.docx Form and Instruction
404 Statement of Cash Positions in Physical Commodities Position_Limits_CFTC FORM 404.docm Form and Instruction
404A Statement of Anticipated Transactions in Physical Commid Position_limits_CFTC FORM 404A.docm Form and Instruction
404S Statement of Pass-Through Swaps Position_limits_CFTC FORM 404S.docx Form and Instruction

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	Position Limits for Futures and Swaps	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 1 17 CFR 150 17 CFR 151

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	401	Position Visibility Reporting	Position_limits_CFTC FORM 401.docx	Yes	Yes	Fillable Fileable
Form and Instruction	404	Statement of Cash Positions in Physical Commodities	Position_Limits_CFTC FORM 404.docm	Yes	Yes	Fillable Fileable
Form and Instruction	404A	Statement of Anticipated Transactions in Physical Commidites	Position_limits_CFTC FORM 404A.docm	Yes	Yes	Fillable Fileable
Form and Instruction	404S	Statement of Pass-Through Swaps	Position_limits_CFTC FORM 404S.docx	Yes	Yes	Fillable Fileable

Line of Business: General Government

Subfunction: Executive Functions

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 270	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Approved	Program Change Due to New Statute
Annual Number of Responses for this IC	42,597	42,597
Annual IC Time Burden (Hours)	307,460	307,460
Annual IC Cost Burden (Dollars)	49,300	49,300

Documents for IC

Title	Document	Date Uploaded
No associated records found

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.