Information Collection

Position Limits for Futures and Swaps

IC 195772 under ICR 201111-3038-001 · OMB 3038-0077.

⚠️ Notice: This information collection may be referencing outdated material.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

Documents and Forms

Documents and forms in this information collection
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

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:

table that charts list of 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 %

table that charts list of burden
	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

table that charts IC Documents
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.