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

Registration under the Commodity Exchange Act

⚠️ Notice: This information collection may be referencing outdated material.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

Documents and Forms

Document Name Document Type
Form Form 7-R Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations Form and Instruction
Form 7-R Firm Application 7-rForm (Firm Applica).pdf Form and Instruction
Form 8-R Individual Application Form 8-R.docx Form and Instruction

Information Collection (IC) Details

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 145 17 CFR 147 17 CFR 3 17 CFR 4

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	Form 7-R	Firm Application	7-rForm (Firm Applica).pdf		Yes	Yes	Fillable Fileable Signable
Form and Instruction	Form 8-R	Individual Application	Form 8-R.docx		Yes	Yes	Fillable Fileable Signable

Line of Business: General Government

Subfunction: Executive Functions

Privacy Act System of Records
Title: National Futures Assoc. Applications Suite-CFTC-12	FR Citation: 84 FR 17811

Number of Respondents: 77,491	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 Agency Discretion	Previously Approved
Annual Number of Responses for this IC	77,491	65,424	12,067
Annual IC Time Burden (Hours)	7,469	229	7,240
Annual IC Cost Burden (Dollars)	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.