Information Collection

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

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

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0103 can be found here:

2026-10-29 - Extension without change of a currently approved collection

Documents and Forms

Documents and forms in this information collection
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 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 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
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 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 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
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:

table that charts list of instruments
Document Type	Form No.	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	CFTC Form 102* (*102A, 102B, 102S)	Yes	Yes	Fillable Fileable
Form and Instruction	CFTC Form 71	Yes	Yes	Fillable Fileable
Form and Instruction	CFTC Form 40	Yes	Yes	Fillable Fileable

Federal Enterprise Architecture Business Reference Module

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 %

table that charts list of burden
	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

table that charts IC Documents
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.

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