Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports)

The Commodity Futures Trading Commission adopted rules and related forms to enhance its identification of futures and swap market participants. The information collections included in this renewal (“OCR information collections”) are part of the Commodity Futures Trading Commission’s (“CFTC”) implementation of §§ 4a, 4c(b), 4g, and 4i of the Commodity Exchange Act (“Act”). These sections in the Act authorize and require the CFTC to regulate various financial markets, including futures, swaps, and commodities. The information contained in the OCR information collections is necessary for the CFTC to carry out these regulatory functions, including information necessary for the CFTC’s market surveillance function.

The latest form for Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports) expires 2024-01-31 and can be found here.