Information Collection

Ownership and Control Reports, Forms 102/102S, 40/40S, and 71

IC 203657 under ICR 202606-3038-004 · OMB 3038-0103.

Documents and Forms

Document Name Document Type
Form CFTC Form 102* (*1 Identification of Special Accounts, Volume Threshold Accounts, and Consolidated Accounts Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 Form and Instruction
Form CFTC Form 71 Identification of Omnibus Accounts and Sub-Accounts Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 Form and Instruction
Form CFTC Form 40 Statement of Reporting Trader Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 Form and Instruction
CFTC Form 102* (*1 Identification of Special Accounts, Volume Threshold Acc Form_102(ID Special, Vol, Consol Accts).doc Form and Instruction
CFTC Form 71 Identification of Omnibus Accounts and Sub-Accounts Form_71 (ID of Omnibus Accts & Sub-accts).doc Form and Instruction
CFTC Form 40 Statement of Reporting Trader Form_40 (Statmt of Rptg Trader).doc Form and Instruction

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	Ownership and Control Reports, Forms 102/102S, 40/40S, and 71	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 18 17 CFR 15 17 CFR 17 17 CFR 20

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	CFTC Form 102* (*102A, 102B, 102S)	Identification of Special Accounts, Volume Threshold Accounts, and Consolidated Accounts	Form_102(ID Special, Vol, Consol Accts).doc	Yes	Yes	Fillable Fileable
Form and Instruction	CFTC Form 71	Identification of Omnibus Accounts and Sub-Accounts	Form_71 (ID of Omnibus Accts & Sub-accts).doc	Yes	Yes	Fillable Fileable
Form and Instruction	CFTC Form 40	Statement of Reporting Trader	Form_40 (Statmt of Rptg Trader).doc	Yes	Yes	Fillable Fileable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 2,178	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Requested	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	902,012	241,600	660,412
Annual IC Time Burden (Hours)	278,004	89,024	188,980
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

Title	Document	Date Uploaded
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Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.

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