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Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
OMB: 3038-0023
IC ID: 201477
OMB.report
CFTC
OMB 3038-0023
ICR 201210-3038-001
IC 201477
( )
⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0023 can be found here:
2023-01-20 - Extension without change of a currently approved collection
2020-09-24 - Revision of a currently approved collection
Documents and Forms
Document Name
Document Type
Form 7R
Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
Form and Instruction
7R Firm Application
Form7-R (c-10-2012) .docx
Form and Instruction
8R Floor Trader Order Enterer Application
Form 8-R order enterer (c-10-2012).docx
Form and Instruction
Information Collection (IC) Details
View Information Collection (IC)
IC Title:
Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
Agency IC Tracking Number:
Is this a Common Form?
No
IC Status:
Modified
Obligation to Respond:
Mandatory
CFR Citation:
17 CFR 4
17 CFR 145
17 CFR 147
Information Collection Instruments:
Document Type
Form No.
Form Name
Instrument File
URL
Available Electronically?
Can Be Submitted Electronically?
Electronic Capability
Form and Instruction
7R
Firm Application
Form7-R (c-10-2012) .docx
Yes
Yes
Fillable Fileable
Form and Instruction
8R
Floor Trader Order Enterer Application
Form 8-R order enterer (c-10-2012).docx
Yes
Yes
Fillable Fileable
Federal Enterprise Architecture Business Reference Module
Line of Business:
General Government
Subfunction:
Executive Functions
Privacy Act System of Records
Title:
FR Citation:
Number of Respondents:
77,857
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
Program Change Due to Agency Discretion
Change Due to Adjustment in Agency Estimate
Change Due to Potential Violation of the PRA
Previously Approved
Annual Number of Responses for this IC
78,109
0
0
0
0
78,109
Annual IC Time Burden (Hours)
7,030
0
0
0
0
7,030
Annual IC Cost Burden (Dollars)
0
0
0
0
0
0
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.