OMB control number

Market Surveys

OMB 3038-0017 · CFTC.

OMB 3038-0017

The CFTC requests approval for the extension of the information collections associated with Commission Rule 21.02 (17 CFR 21.02), relating to Market Surveys. Under Commission Rule 21.02, upon call by the Commission, information related to futures or options positions held or introduced by futures commission merchants, members of contract markets, introducing brokers, and foreign brokers and, for options positions, must be furnished by each reporting market. This rule is designed to assist the Commission in prevention of market manipulation and is promulgated pursuant to the Commission’s rulemaking authority contained in section 8a of the Commodity Exchange Act, 7 U.S.C. 12 a (2010). The information is used primarily by Surveillance and Market Analysts in order to fulfill their market surveillance function. Additionally, the data is used to provide a basis for reports to Congress as well as supporting various research projects and reports from Commission economists and analysts.

The latest form for Market Surveys expires 2029-01-31 and is listed under ICR 202506-3038-006.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
Document	Type
2025 Supporting Statement 3038-0017.docx	Supporting Statement A
2025 Supporting Statement 3038-0017.docx	Supporting Statement A
Market Surveys	Information collection

All Historical Document Collections

Historical document collections
Reference	Filing	Received	Action
202506-3038-006	Extension without change of a currently approved collection	2025-09-17
202207-3038-009	Extension without change of a currently approved collection	2022-09-21	Approved without change
201909-3038-002	Revision of a currently approved collection	2019-09-27	Approved with change
201606-3038-001	Extension without change of a currently approved collection	2016-08-09	Approved without change
201307-3038-002	Reinstatement without change of a previously approved collection	2013-07-11	Approved without change
201002-3038-001	Extension without change of a currently approved collection	2010-04-21	Approved without change
200610-3038-002	Revision of a currently approved collection	2006-10-24	Approved without change
200306-3038-002	Extension without change of a currently approved collection	2003-06-26	Approved without change
200007-3038-001	Extension without change of a currently approved collection	2000-07-14	Approved without change
199706-3038-001	Extension without change of a currently approved collection	1997-06-02	Approved without change
199312-3038-001	Extension without change of a currently approved collection	1993-12-14	Approved without change
199012-3038-004	Extension without change of a currently approved collection	1990-12-24	Approved without change
198906-3038-004	No material or nonsubstantive change to a currently approved collection	1989-06-26	Approved with change
198905-3038-002	No material or nonsubstantive change to a currently approved collection	1989-05-05	Approved with change
198904-3038-007	No material or nonsubstantive change to a currently approved collection	1989-04-24	Approved with change
198801-3038-001	Revision of a currently approved collection	1988-01-15	Approved without change
198412-3038-001	Revision of a currently approved collection	1984-12-04	Approved without change
198307-3038-002	Revision of a currently approved collection	1983-07-28	Approved without change
198206-3038-001	Extension without change of a currently approved collection	1982-06-15	Approved without change
198111-3038-006	New collection (Request for a new OMB Control Number)	1981-11-06	Approved without change