Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form CFTC Form 40 Statement of Reporting Trader	Form and Instruction	New	Available
Form CFTC Form 71 Identification of Omnibus Accounts and Sub-Accounts	Form and Instruction	New	Available
Form CFTC Form 102* (*1 Identification of Special Accounts, Volume Threshold Accounts, and Consolidated Accounts	Form and Instruction	New	Available
Suppt Statmt (7-31-12).doc	Supporting Statement A	Uploaded 2012-08-08	Available
60-day FRN.pdf	Supplementary Document	Uploaded 2012-08-08	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
203657	Ownership and Control Reports, Forms 102/102S, 40/40S, and 71	Form and Instruction	New	Statement of Reporting Trader
203657	Ownership and Control Reports, Forms 102/102S, 40/40S, and 71	Form and Instruction	New	Identification of Omnibus Accounts and Sub-Accounts
203657	Ownership and Control Reports, Forms 102/102S, 40/40S, and 71	Form and Instruction	New	Identification of Special Accounts, Volume Threshold Accounts, and Consolidated Accounts

ICR Details

OMB Control No: 3038-0103	ICR Reference No: 201208-3038-002
Status: Historical Inactive	Previous ICR Reference No:
Agency/Subagency: CFTC	Agency Tracking No:
Title: Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports)
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule	Conclusion Date: 10/22/2012
Retrieve Notice of Action (NOA)	Date Received in OIRA: 08/21/2012
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). In accordance with 5 CFR 1320, OMB is withholding approval at this time. The agency shall examine public comment in response to the NPRM and will include in the supporting statement of the next ICR--to be submitted to OMB at the final rule stage--a description of how the agency has responded to any public comments on the ICR, including comments on maximizing the practical utility of the collection and minimizing the burden.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date		36 Months From Approved
Responses	0	0	0
Time Burden (Hours)	0	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: The Commodity Futures Trading Commission is proposing new rules and related forms to enhance its identification of futures and swap market participants.

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Authorizing Statute(s): US Code: 7 USC 19 Name of Law: Reporting
   PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd-Frank
   US Code: 7 USC 2, Name of Law: Reports-General Provisions
   US Code: 7 USC 5 Name of Law: Reports-General Provisions
   US Code: 7 USC 6a, 6c, 6d, 6f, 6g, 6i, 6k, 6m Name of Law: Reporting
   US Code: 7 USC 12a Name of Law: Reporting
   US Code: 7 USC 21 Name of Law: Reporting
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd-Frank

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3038-AD31	Proposed rulemaking	77 FR 43968	07/26/2012

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 43968	07/26/2012
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
Ownership and Control Reports, Forms 102/102S, 40/40S, and 71	CFTC Form 102* (*102A, 102B, 102S), CFTC Form 71, CFTC Form 40	Identification of Special Accounts, Volume Threshold Accounts, and Consolidated Accounts ,   Identification of Omnibus Accounts and Sub-Accounts ,   Statement of Reporting Trader

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

Burden Increase Due to:

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

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government: $4,367,400

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]? No

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

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

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: 08/21/2012

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