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Position Limits for Futures and Swaps
Position Limits for Futures and Swaps
OMB: 3038-0077
IC ID: 195772
OMB.report
CFTC
OMB 3038-0077
ICR 201111-3038-001
IC 195772
( )
⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0077 can be found here:
2012-06-27 - Revision of a currently approved collection
2012-06-20 - No material or nonsubstantive change to a currently approved collection
Documents and Forms
Document Name
Document Type
Form 401
Position Limits for Futures and Swaps
Form and Instruction
401 Position Visibility Reporting
Position_limits_CFTC FORM 401.docx
Form and Instruction
404 Statement of Cash Positions in Physical Commodities
Position_Limits_CFTC FORM 404.docm
Form and Instruction
404A Statement of Anticipated Transactions in Physical Commid
Position_limits_CFTC FORM 404A.docm
Form and Instruction
404S Statement of Pass-Through Swaps
Position_limits_CFTC FORM 404S.docx
Form and Instruction
Information Collection (IC) Details
View Information Collection (IC)
IC Title:
Position Limits for Futures and Swaps
Agency IC Tracking Number:
Is this a Common Form?
No
IC Status:
Modified
Obligation to Respond:
Mandatory
CFR Citation:
17 CFR 1
17 CFR 150
17 CFR 151
Information Collection Instruments:
Document Type
Form No.
Form Name
Instrument File
URL
Available Electronically?
Can Be Submitted Electronically?
Electronic Capability
Form and Instruction
401
Position Visibility Reporting
Position_limits_CFTC FORM 401.docx
Yes
Yes
Fillable Fileable
Form and Instruction
404
Statement of Cash Positions in Physical Commodities
Position_Limits_CFTC FORM 404.docm
Yes
Yes
Fillable Fileable
Form and Instruction
404A
Statement of Anticipated Transactions in Physical Commidites
Position_limits_CFTC FORM 404A.docm
Yes
Yes
Fillable Fileable
Form and Instruction
404S
Statement of Pass-Through Swaps
Position_limits_CFTC FORM 404S.docx
Yes
Yes
Fillable Fileable
Federal Enterprise Architecture Business Reference Module
Line of Business:
General Government
Subfunction:
Executive Functions
Privacy Act System of Records
Title:
FR Citation:
Number of Respondents:
270
Number of Respondents for Small Entity:
0
Affected Public:
Private Sector
Private Sector:
Businesses or other for-profits
Percentage of Respondents Reporting Electronically:
100 %
Approved
Program Change Due to New Statute
Program Change Due to Agency Discretion
Change Due to Adjustment in Agency Estimate
Change Due to Potential Violation of the PRA
Previously Approved
Annual Number of Responses for this IC
42,597
42,597
0
0
0
0
Annual IC Time Burden (Hours)
307,460
307,460
0
0
0
0
Annual IC Cost Burden (Dollars)
49,300
49,300
0
0
0
0
Documents for IC
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.