Large Trader Reports

Forms and Documents

Document	Type	Status	Availability
Form 40 Statement of Reporting Trader	Form	Modified	Available
Form 102 Identification of Special Accounts	Form	Modified	Available
2026 Supporting Statement 3038-0009, -0012, -0103 (Event Contract Reporting NPRM).docx	Supporting Statement A	Uploaded 2026-07-01	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
29017	Large Trader Reports	Form	Modified	Statement of Reporting Trader
29017	Large Trader Reports	Form	Modified	Identification of Special Accounts

ICR Details

OMB Control No: 3038-0009	ICR Reference No: 202606-3038-002
Status: Received in OIRA	Previous ICR Reference No: 202402-3038-002
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	Date Submitted to OIRA: 07/01/2026

	Requested	Previously Approved
Expiration Date	36 Months From Approved	07/31/2027
Responses	70,980	68,484
Time Burden (Hours)	18,096	17,472
Cost Burden (Dollars)	6,035,872	6,035,872

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Abstract: The CFTC is proposing rules that would specify reporting requirements that would apply to fully collateralized event contracts. Those reporting requirements are generally applicable to futures and options contracts. The reporting rules are primarily implemented by the Commission pursuant to §§ 4a, 4c(b), 4g, and 4i of the CEA. Section 4a of the CEA, as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), requires the Commission to set and enforce speculative position limits with respect to both futures and swaps. Section 4c(b) gives the Commission plenary authority to regulate transactions that involve commodity options. Section 4g(a) of the CEA requires, among other things, each futures commission merchant (“FCM”), introducing broker, floor broker, and floor trader to file such reports as the Commission may require on proprietary and customer transactions and positions in commodities for future delivery on any board of trade in the United States or elsewhere. In addition, § 4g(b) requires registered entities to maintain daily trading records as required by the Commission, and § 4g(c) requires floor brokers, introducing brokers, and FCMs to maintain their own daily trading records for each customer in such manner and form as to be identifiable with the daily trading records maintained by registered entities. Section 4g(d) permits the Commission to require that such daily trading records be made available to the Commission. Lastly, § 4i of the CEA mandates the filing of such reports as the Commission may require when positions taken or obtained on DCMs equal or exceed Commission-set levels. Collectively, these CEA provisions warrant the maintenance of an effective and rigorous system of market and financial surveillance. The reporting rules at issue implicate information collection requirements via §§ 16.00, 17.00, and Part 21 (OMB control number 3038-0009), § 16.01 (OMB control number 3038-0012), and, §§ 17.01, 18.04, and 18.05 (OMB control number 3038-0103).

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

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

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3038-AF73	Proposed rulemaking	91 FR 40102	07/01/2026

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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

IC Title	Form No.	Form Name
Large Trader Reports	40, 102	Identification of Special Accounts ,   Statement of Reporting Trader

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ICR Summary of Burden

	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	70,980	68,484	0	2,496	0	0
Annual Time Burden (Hours)	18,096	17,472	0	624	0	0
Annual Cost Burden (Dollars)	6,035,872	6,035,872	0	0	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 Commission is proposing regulations that require revisions to the information collections associated with OMB Collection 3038-0009. As a result of these changes, the total number of respondents is increasing from 330 to 342. This increase in the estimated number of covered respondents results in an increase in estimated information collection from 17,742 hours to 18,096 hours annually.

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

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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? No

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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: 07/01/2026

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