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

Forms and Documents

Document Name	Status
Form CFTC Form 102* (*1 Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 Form and Instruction	Modified
Supporting Statement.pdf Supporting Statement A	2013-11-18
60-day FRN.pdf Supplementary Document	2012-08-08

IC Document Collections

IC ID	Document Title	Status
203657	Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 Form and Instruction	Modified

ICR Details

OMB Control No: 3038-0103	ICR Reference No: 201311-3038-008
Status: Historical Active	Previous ICR Reference No: 201208-3038-002
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: Existing collection in use without an OMB Control Number	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 07/31/2014
	Date Received in OIRA: 11/18/2013
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2017	36 Months From Approved
Responses	225,742	0	0
Time Burden (Hours)	136,639	0	0
Cost Burden (Dollars)	18	0	0

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Abstract: The Commodity Futures Trading Commission is adopting 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 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
   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
  

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	Final or interim final 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
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 69178	11/18/2013
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 1

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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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	225,742	0	217,296	8,446	0	0
Annual Time Burden (Hours)	136,639	0	116,360	20,279	0	0
Annual Cost Burden (Dollars)	18	0	8,076,549	-8,076,531	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

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

Burden Reduction Due to:

Short Statement: The final rules modify the current reporting rules and forms as they pertain to positions in open contracts.

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Annual Cost to Federal Government: $1,744,950

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: 11/18/2013

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