Part-4 Commodity Pool Operators and Commodity Trading Advisors

Harmonization of Compliance Obligation for Registered Investment Companies Required to Register as Commodity Pool Operators

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0005 can be found here:

Documents and Forms

Document Name Document Type
Form CPO-PQR Part-4 Commodity Pool Operators and Commodity Trading Advisors Form and Instruction
CPO-PQR CPO-PQR Form CPO-PQR_2011 01-13 final format 1-04-12.docx Form and Instruction
CTA-PR CTA-PR Form CTA-PR_2012.docx Form and Instruction

Information Collection (IC) Details

IC Title:	Part-4 Commodity Pool Operators and Commodity Trading Advisors	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 4

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	CPO-PQR	CPO-PQR	Form CPO-PQR_2011 01-13 final format 1-04-12.docx		Yes	Yes	Fillable Fileable Signable
Form and Instruction	CTA-PR	CTA-PR	Form CTA-PR_2012.docx		Yes	Yes	Fillable Fileable Signable

Line of Business: General Government

Subfunction: Legislative Functions

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 41,714	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	Previously Approved
Annual Number of Responses for this IC	61,108	45,476	-53,450	69,082
Annual IC Time Burden (Hours)	256,431	16,886	-32,875	272,420
Annual IC Cost Burden (Dollars)	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.