Large Trader Reports

OMB 3038-0009

OMB 3038-0009

The reporting rules covered by OMB Control Number 3038-0009 (“the Collection”) are structured to ensure the Commission receives adequate information to carry out its market and financial surveillance programs. The reporting rules are implemented by the Commission partly pursuant to the authority of sections 4a, 4c(b), 4g, and 4i of the Commodity Exchange Act. Section 4a of the Act permits the Commission to set, approve exchange-set, and enforce speculative position limits. Section 4c(b) of the Act gives the Commission plenary authority to regulate transactions that involve commodity options. Section 4g of the Act imposes reporting and recordkeeping obligations on registered entities, and requires each registrant, whether a futures commission merchant (FCM), introducing broker, floor broker, or floor trader, to file such reports as the Commission may require on proprietary and customer positions executed on any board of trade in the United States or elsewhere. Lastly, section 4i of the Act requires the filing of such reports as the Commission may require when positions made or obtained on designated contract markets or derivatives transaction execution facilities equal or exceed Commission-set levels.

The latest form for Large Trader Reports expires 2022-05-31 and can be found here.

All Historical Document Collections
Comment filed on proposed rule and continue
Revision of a currently approved collection 2023-06-27
Approved without change
Extension without change of a currently approved collection 2023-03-27
Approved without change
Revision of a currently approved collection 2021-01-14
Preapproved
Revision of a currently approved collection 2020-02-27
Approved without change
Revision of a currently approved collection 2019-06-27
Comment filed on proposed rule and continue
Revision of a currently approved collection 2017-01-04
Approved without change
Revision of a currently approved collection 2015-07-16
Comment filed on proposed rule and continue
Revision of a currently approved collection 2013-12-12
Approved without change
Reinstatement with change of a previously approved collection 2012-03-02
Approved without change
Revision of a currently approved collection 2009-10-28
Preapproved
Revision of a currently approved collection 2008-12-19
Approved with change
Revision of a currently approved collection 2008-10-09
Comment filed on proposed rule and continue
Revision of a currently approved collection 2007-06-28
Approved without change
Revision of a currently approved collection 2006-01-12
Approved without change
Extension without change of a currently approved collection 2005-03-11
Approved without change
Revision of a currently approved collection 2004-09-01
Approved without change
Extension without change of a currently approved collection 2002-04-16
Approved without change
No material or nonsubstantive change to a currently approved collection 2000-06-09
Approved without change
Revision of a currently approved collection 1999-02-05
Approved without change
Revision of a currently approved collection 1996-07-26
Approved without change
Revision of a currently approved collection 1995-08-04
Approved without change
Revision of a currently approved collection 1994-12-02
Approved without change
Revision of a currently approved collection 1993-02-26
Approved without change
Revision of a currently approved collection 1992-09-30
Approved without change
Revision of a currently approved collection 1992-06-15
Approved without change
Revision of a currently approved collection 1992-02-21
Approved without change
Revision of a currently approved collection 1990-12-21
Approved without change
Revision of a currently approved collection 1988-07-15
Approved without change
Revision of a currently approved collection 1987-10-14
Approved without change
Revision of a currently approved collection 1987-05-06
Approved without change
Revision of a currently approved collection 1987-03-05
Approved without change
Revision of a currently approved collection 1986-07-08
Approved without change
Revision of a currently approved collection 1986-05-08
Approved with change
No material or nonsubstantive change to a currently approved collection 1985-11-15
Approved without change
Revision of a currently approved collection 1984-09-07
Approved with change
No material or nonsubstantive change to a currently approved collection 1984-02-15
Approved with change
No material or nonsubstantive change to a currently approved collection 1983-06-15
Approved with change
No material or nonsubstantive change to a currently approved collection 1983-03-30
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 without change
New collection (Request for a new OMB Control Number) 1981-08-03

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