Information Collection

Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations

IC 201477 under ICR 201412-3038-002 · OMB 3038-0023.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0023 can be found here:

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form 7R Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations	Form and Instruction
7R Firm Application 7-rForm (Firm Applica).pdf	Form and Instruction
8R Floor Trader Order Enterer Application 8-rform(Individual App).pdf	Form and Instruction

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:

table that charts list of instruments
Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	7R	Firm Application	7-rForm (Firm Applica).pdf		Yes	Yes	Fillable Fileable
Form and Instruction	8R	Floor Trader Order Enterer Application	8-rform(Individual App).pdf		Yes	Yes	Fillable Fileable

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 %

table that charts list of burden
	Approved	Previously Approved
Annual Number of Responses for this IC	78,109	78,109
Annual IC Time Burden (Hours)	7,030	7,030
Annual IC Cost Burden (Dollars)	0	0

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.