Position Limits for Futures and Swaps

Documents and Forms

Document Name Document Type
Form 404A Position Limits for Futures and Swaps Form and Instruction
401 Position Visibility Reporting INSTRUCTIONS FOR PREPARING AND FILING REPORTS ON CFTC FORM 401 - FINAL 06-22-12 (2).docx Form and Instruction
404 Statement of Cash Positions in Physical Commodities INSTRUCTIONS FOR PREPARING AND FILING REPORTS ON CFTC FORM 404.docx Form and Instruction
404A Statement of Anticipated Transactions in Physical Commod INSTRUCTIONS FOR PREPARING AND FILING REPORTS ON CFTC FORM 404A.docx Form and Instruction
404S Statement of Pass-Through Swaps INSTRUCTIONS FOR PREPARING AND FILING REPORTS ON 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 150 17 CFR 151 17 CFR 1

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	404A	Statement of Anticipated Transactions in Physical Commodities	INSTRUCTIONS FOR PREPARING AND FILING REPORTS ON CFTC FORM 404A.docx	Yes	Yes	Fillable Fileable
Form and Instruction	404S	Statement of Pass-Through Swaps	INSTRUCTIONS FOR PREPARING AND FILING REPORTS ON CFTC FORM 404S.docx	Yes	Yes	Fillable Fileable
Form and Instruction	401	Position Visibility Reporting	INSTRUCTIONS FOR PREPARING AND FILING REPORTS ON CFTC FORM 401 - FINAL 06-22-12 (2).docx	Yes	Yes	Fillable Fileable
Form and Instruction	404	Statement of Cash Positions in Physical Commodities	INSTRUCTIONS FOR PREPARING AND FILING REPORTS ON CFTC FORM 404.docx	Yes	Yes	Fillable Fileable

Line of Business: General Government

Subfunction: Executive Functions

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 250	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 100 %

	Requested	Program Change Due to New Statute	Previously Approved
Annual Number of Responses for this IC	55,971	13,374	42,597
Annual IC Time Burden (Hours)	555,400	247,940	307,460
Annual IC Cost Burden (Dollars)	71,500	22,200	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.