Regulation of Domestic Exchange-Traded Options

OMB 3038-0007

OMB 3038-0007

The rules require futures commission merchants and introducing brokers to provide their customers with a standard disclosure statement describing some of the risks of trading commodity options and to retain all promotional material. The disclosure and recordkeeping requirements are necessary to monitor and to verify compliance by FCMs and IBs with their obligations concerning disclosure and promotional material.

The latest form for Regulation of Domestic Exchange-Traded Options expires 2021-12-31 and can be found here.

Latest Forms, Documents, and Supporting Material
All Historical Document Collections
Approved without change
Revision of a currently approved collection 2021-10-29
Approved without change
Revision of a currently approved collection 2018-08-13
Approved without change
Revision of a currently approved collection 2015-08-27
Approved without change
Revision of a currently approved collection 2012-03-29
Approved without change
Revision of a currently approved collection 2009-01-29
Approved without change
Extension without change of a currently approved collection 2005-09-01
Approved without change
Extension without change of a currently approved collection 2002-07-11
Approved without change
Extension without change of a currently approved collection 1999-05-04
Approved without change
Revision of a currently approved collection 1997-10-09
Approved without change
Reinstatement without change of a previously approved collection 1996-05-01
Approved without change
Revision of a currently approved collection 1992-08-27
Approved without change
Revision of a currently approved collection 1991-07-05
Approved without change
Revision of a currently approved collection 1989-06-07
Approved without change
Revision of a currently approved collection 1986-05-15
Approved without change
Reinstatement with change of a previously approved collection 1985-01-15
Approved with change
No material or nonsubstantive change to a currently approved collection 1983-01-13
Approved with change
No material or nonsubstantive change to a currently approved collection 1982-07-27
Approved with change
No material or nonsubstantive change to a currently approved collection 1982-04-28
Approved without change
New collection (Request for a new OMB Control Number) 1981-07-22

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