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

Rules Relating to the Operations and Activities of Commodity Pool Operators and Commodity trading Advisors and to Monthly Reporting by Futures Commission Merchants

⚠️ Notice: This information collection may be referencing outdated material.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 Harmonization of Compliance Obligation for Registered Investment Companies Required to Register as Commodity Pool Operators 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:	Harmonization of Compliance Obligation for Registered Investment Companies Required to Register as Commodity Pool Operators	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Removed

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: 6,332	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	-7,312	7,312
Annual IC Time Burden (Hours)	-19,629	19,629
Annual IC Cost Burden (Dollars)	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.