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

ICR 202308-3038-002

OMB: 3038-0103

Federal Form Document

Forms and Documents
Form and Instruction
Supplementary Document
Supplementary Document
Supporting Statement A
IC Document Collections
ICR Details
3038-0103 202308-3038-002
Received in OIRA 202010-3038-007
Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports)
Extension without change of a currently approved collection   No
Regular 11/13/2023
  Requested Previously Approved
36 Months From Approved 01/31/2024
660,412 660,412
188,980 188,080
0 18,898,000

The Commodity Futures Trading Commission adopted rules and related forms to enhance its identification of futures and swap market participants. The information collections included in this renewal (“OCR information collections”) are part of the Commodity Futures Trading Commission’s (“CFTC”) implementation of §§ 4a, 4c(b), 4g, and 4i of the Commodity Exchange Act (“Act”). These sections in the Act authorize and require the CFTC to regulate various financial markets, including futures, swaps, and commodities. The information contained in the OCR information collections is necessary for the CFTC to carry out these regulatory functions, including information necessary for the CFTC’s market surveillance function.

US Code: 7 USC 6a, 6c(b), 6g, 6i, 6t,6s, 7b-3 Name of Law: Reporting & Recordkeeping
   PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd-Frank

Not associated with rulemaking

  88 FR 59877 08/30/2023
88 FR 77565 11/13/2023

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

  Total Request 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 660,412 660,412 0 0 0 0
Annual Time Burden (Hours) 188,980 188,080 0 0 900 0
Annual Cost Burden (Dollars) 0 18,898,000 0 0 -18,898,000 0
There are no program changes. The Commission is updating its burden hour estimates as described in Attachment A. In addition, during the prior renewal cycle, the labor costs associated with reported burden hours were entered into ROCIS as a separate cost burden ($). Per the instructions on page 40 of the ROCIS User Guide, which provides that agencies "do not report as a dollar cost any burden reported in hours" on the ICR Summary of Burden worksheet, the entry for these labor costs associated with the reported burden hours have been removed. The labor costs associated with the reported burden hours are provided in Attachment A of the Supporting Statement. There are no additional capital costs or operating and maintenance costs associated with this collection.

Kenny Wright 202 326-2907 [email protected]


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:
    (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;
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.

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