Large Trader Reports

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form 102 Large Trader Reports	Form	Modified	Repair queued
3038-0009 Supporting Statement EXTENSION REQUEST 2015.doc	Supporting Statement A	Uploaded 2015-07-16	Available
3938-0009 (60-day notice) EXTENSION REQUEST.doc	Supplementary Document	Uploaded 2015-07-09	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
29017	Large Trader Reports	Form	Modified

ICR Details

OMB Control No: 3038-0009	ICR Reference No: 201507-3038-005
Status: Historical Active	Previous ICR Reference No: 201202-3038-011
Agency/Subagency: CFTC	Agency Tracking No:
Title: Large Trader Reports
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/19/2016
	Date Received in OIRA: 07/16/2015
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2019	36 Months From Approved	08/31/2016
Responses	69,609	0	76,950
Time Burden (Hours)	18,348	0	22,792
Cost Burden (Dollars)	0	0	0

---

Abstract: The reporting rules covered by OMB control number 3038-0009 are contained in certain regulations in Parts 16, 17, 19, and 21 of the Commodity Futures Trading Commission's (CFTC or Commission) regulations. Together, the reporting rules are structured to ensure that the Commission receives adequate information to carry out its market and financial surveillance programs. The market surveillance programs analyze market information to detect and prevent market disruptions and enforce speculative position limits. The financial surveillance programs combine market information with financial data to assess the financial risks presented by large customer positions to Commission registrants and clearing organizations.

---

Authorizing Statute(s): US Code: 7 USC 1 et seq Name of Law: Exempt Markets
   US Code: 7 USC 6a, 6c, 6g, 6i Name of Law: Exempt Markets
   US Code: 7 USC 5(b) Name of Law: Exempt Markets
   US Code: 7 USC 12a(5) Name of Law: Exempt Markets
   US Code: 7 USC 1a(11) Name of Law: Exempt Markets
   US Code: 7 USC 1a(10) Name of Law: Exempt Markets
   US Code: 7 USC 1a(14) Name of Law: Exempt Markets
   US Code: 7 USC 2(h)(7) Name of Law: Exempt Markets
  

Citations for New Statutory Requirements: US Code: 7 USC 6a, 6c, 6g, 6i, Name of Law: Exempt Markets
US Code: 7 USC 1 et seq Name of Law: Exempt Markets
US Code: 7 USC 2(h)(7) Name of Law: Exempt Markets
US Code: 7 USC 12a(5) Name of Law: Exempt Markets
US Code: 7 USC 1a(11) Name of Law: Exempt Markets
US Code: 7 USC 1a(10) Name of Law: Exempt Markets
US Code: 7 USC 1a(12) Name of Law: Exempt Markets
US Code: 7 USC 5(b) Name of Law: Exempt Markets

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	80 FR 25280	05/04/2015
30-day Notice:	Federal Register Citation:	Citation Date:
	80 FR 42091	07/16/2015
Did the Agency receive public comments on this ICR? No

---

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

table that charts list of burden

IC Title	Form No.	Form Name
Large Trader Reports	40, 102, 204, 304	Identification of Special Accounts ,   Statement of Reporting Trader ,   Statement of Cash Positions in Grains, Soybeans, Soybean Oil, and Soybean Meal ,   Statement of Cash Positions in Cotton

---

ICR Summary of Burden

table that charts list 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	69,609	76,950	0	-7,341	0	0
Annual Time Burden (Hours)	18,348	22,792	0	-4,444	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The burden was reduced because some of the recordkeeping and reporting burden was assumed by another collection. See 78 FR 69178,69200 (Nov. 18, 2013).

---

Annual Cost to Federal Government: $2,062,500

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]? No

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

Is this ICR related to the Pandemic Response? Uncollected

---

Common Form ICR:  No

---

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: 07/16/2015

---