Information Collection

Ownership and Control Reports, Forms 102/102S, 40/40S, and 71

IC 203657 under ICR 201208-3038-002 · OMB 3038-0103.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0103 can be found here:

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form CFTC Form 102* (*1 Ownership and Control Reports, Forms 102/102S, 40/40S, and 71	Form and Instruction
CFTC Form 102* (*1 Identification of Special Accounts, Volume Threshold Acc Form_102(ID Special, Vol, Consol Accts).doc	Form and Instruction
CFTC Form 71 Identification of Omnibus Accounts and Sub-Accounts Form_71 (ID of Omnibus Accts & Sub-accts).doc	Form and Instruction
CFTC Form 40 Statement of Reporting Trader Form_40 (Statmt of Rptg Trader).doc	Form and Instruction

IC Title:

Ownership and Control Reports, Forms 102/102S, 40/40S, and 71

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 18 17 CFR 20 17 CFR 15 17 CFR 17

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	CFTC Form 102* (*102A, 102B, 102S)	Identification of Special Accounts, Volume Threshold Accounts, and Consolidated Accounts	Form_102(ID Special, Vol, Consol Accts).doc	Yes	Yes	Fillable Fileable
Form and Instruction	CFTC Form 71	Identification of Omnibus Accounts and Sub-Accounts	Form_71 (ID of Omnibus Accts & Sub-accts).doc	Yes	Yes	Fillable Fileable
Form and Instruction	CFTC Form 40	Statement of Reporting Trader	Form_40 (Statmt of Rptg Trader).doc	Yes	Yes	Fillable Fileable

Line of Business: General Government

Subfunction: Executive Functions

Privacy Act System of Records

Title:

FR Citation:

Number of Respondents: 20,561

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
	Requested	Program Change Due to New Statute
Annual Number of Responses for this IC	217,296	217,296
Annual IC Time Burden (Hours)	116,360	116,360
Annual IC Cost Burden (Dollars)	8,076,549	8,076,549

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.