Ownership and Control Reports, Forms 102/102S, 40/40S, and 71

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

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0103 can be found here:

Documents and Forms

Document Name Document Type
Form CFTC Form 102* (*1 Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 Form and Instruction
CFTC Form 102* (*1 Identification of Special Accounts, Volume Threshold Acc Form_102(ID Special, Vol, Consol Accts).doc Form and Instruction
CFTC Form 71 Identification of Omnibus Accounts and Sub-Accounts Form_71 (ID of Omnibus Accts & Sub-accts).doc Form and Instruction
CFTC Form 40 Statement of Reporting Trader Form_40 (Statmt of Rptg Trader).doc Form and Instruction

Information Collection (IC) Details

IC Title:	Ownership and Control Reports, Forms 102/102S, 40/40S, and 71	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 15 17 CFR 17 17 CFR 18 17 CFR 20

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	CFTC Form 102* (*102A, 102B, 102S)	Identification of Special Accounts, Volume Threshold Accounts, and Consolidated Accounts	Form_102(ID Special, Vol, Consol Accts).doc	Yes	Yes	Fillable Fileable
Form and Instruction	CFTC Form 71	Identification of Omnibus Accounts and Sub-Accounts	Form_71 (ID of Omnibus Accts & Sub-accts).doc	Yes	Yes	Fillable Fileable
Form and Instruction	CFTC Form 40	Statement of Reporting Trader	Form_40 (Statmt of Rptg Trader).doc	Yes	Yes	Fillable Fileable

Line of Business: General Government

Subfunction: Executive Functions

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 1,856	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 Agency Discretion	Previously Approved
Annual Number of Responses for this IC	660,412	434,670	225,742
Annual IC Time Burden (Hours)	188,080	-1,915	189,995
Annual IC Cost Burden (Dollars)	18,898,000	4,624,333	14,273,667

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.