Notice2026-16040
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0103, Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports)
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
August 6, 2026
Issuing agencies
Commodity Futures Trading Commission
Abstract
The Commodity Futures Trading Commission ("CFTC" or "Commission") is announcing an opportunity for public comment on the proposed renewal of the collection of certain information by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information and to allow 60 days for public comment. This notice solicits comments in connection with information collection requirements under certain rules and related forms (the "final rules") that the Commission adopted to enhance its identification of futures and swap market participants.
Full Text
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<title>Federal Register, Volume 91 Issue 150 (Thursday, August 6, 2026)</title>
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[Federal Register Volume 91, Number 150 (Thursday, August 6, 2026)]
[Notices]
[Pages 50813-50814]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-16040]
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COMMODITY FUTURES TRADING COMMISSION
Agency Information Collection Activities: Notice of Intent To
Renew Collection 3038-0103, Ownership and Control Reports, Forms 102/
102S, 40/40S, and 71 (Trader and Account Identification Reports)
AGENCY: Commodity Futures Trading Commission.
ACTION: Notice.
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SUMMARY: The Commodity Futures Trading Commission (``CFTC'' or
``Commission'') is announcing an opportunity for public comment on the
proposed renewal of the collection of certain information by the
agency. Under the Paperwork Reduction Act (``PRA''), Federal agencies
are required to publish notice in the Federal Register concerning each
proposed collection of information and to allow 60 days for public
comment. This notice solicits comments in connection with information
collection requirements under certain rules and related forms (the
``final rules'') that the Commission adopted to enhance its
identification of futures and swap market participants.
DATES: Comments must be submitted on or before October 5, 2026.
ADDRESSES: You may submit comments, identified by OMB Control No. 3038-
0103, by any of the following methods:
<bullet> <a href="http://Regulations.gov">Regulations.gov</a>: Go to <a href="https://www.regulations.gov">https://www.regulations.gov</a> and
press the ``Search'' button, then proceed as follows:
1. Under Refine Documents Results--check the box to ``Only show
documents open for comment'';
2. Under Agency--select ``See More'' and check the box for
``Commodity Futures Trading Commission,'' then press the Apply button;
3. Identify this proposal in the list of CFTC documents open for
comment, press the ``Comment'' button to open the submission form, and
follow the instructions on the form.
Alternatively, if you are viewing this proposal on
<a href="http://www.federalregister.gov">www.federalregister.gov</a>, click the ``Submit A Public Comment'' button
at the top of the page to open the comment form. Follow the
instructions on the form to submit your comment to <a href="http://Regulations.gov">Regulations.gov</a>.
<bullet> Mail: Send to--Christopher Kirkpatrick, Secretary of the
Commission, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street NW, Washington, DC 20581.
<bullet> Hand Delivery/Courier: Address to--CFTC Comment
Submission, Attn: Christopher Kirkpatrick, Secretary of the Commission,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW, Washington, DC 20581.
Please submit your comments using only one of these methods. To
avoid possible delays with mail or in-person deliveries, submissions
through <a href="http://Regulations.gov">Regulations.gov</a> are encouraged.
All comments must be submitted in English or, if not, accompanied
by an English translation. Do not include in your comment text or
attachments any personal identifying information or business
information that you do not want published online. Comments (regardless
of submission method) will be published without review for, and without
removal of, any personal identifying information or information your
business may consider confidential.
If you wish to submit confidential information for the Commission's
consideration, please contact the CFTC personnel listed in this Notice
under FOR FURTHER INFORMATION CONTACT before making any submission.
Please also carefully review the Commission's procedures in 17 CFR
145.9 for requesting confidential treatment under the Freedom of
Information Act (FOIA) of information submitted to the Commission.
The CFTC reserves the right, but shall have no obligation, to
review, pre-screen, filter, or redact all or any part of your comment
submission. The CFTC also reserves the right, without further
notification, to refuse to publish or to remove from public view all or
any part of your submission to the extent it contains content
inappropriate for publication in a comment file, such as--without
limitation--obscene language, threats of violence, solicitations for
commercial sales or illegal activity, or obvious spam. If a submission
that is refused for or withdrawn from publication because of
inappropriate content also contains comments on the merits of this
proposal, such submission will be retained in the record for the matter
and will be considered as required under the Administrative Procedure
Act and other applicable laws, and may be accessible under the FOIA.
FOR FURTHER INFORMATION CONTACT: Paul Chaffin, Special Counsel,
Division of Market Oversight, Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581;
(202) 418-5185; <a href="/cdn-cgi/l/email-protection#85f5e6ede4e3e3ecebc5e6e3f1e6abe2eaf3"><span class="__cf_email__" data-cfemail="d4a4b7bcb5b2b2bdba94b7b2a0b7fab3bba2">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION: Under the PRA, 44 U.S.C. 3501 et seq.,
Federal agencies must obtain approval from the Office of Management and
Budget (``OMB'') for each collection of information they conduct or
sponsor. ``Collection of Information'' is defined in 44 U.S.C. 3502(3)
and 5 CFR 1320.3 and includes agency requests or requirements that
members of the public submit reports, keep records, or provide
information to a third party. Section 3506(c)(2)(A) of the PRA, 44
U.S.C. 3506(c)(2)(A), requires Federal agencies to provide a 60-day
notice in the
[[Page 50814]]
Federal Register concerning each proposed collection of information
before submitting the collection to OMB for approval. To comply with
this requirement, the CFTC is publishing notice of the proposed
collection of information listed below. An agency may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless it displays a currently valid OMB control number.
Title: Ownership and Control Reports, Forms 102/102S, 40/40S, and
71 (Trader and Account Identification Reports) (OMB Control No. 3038-
0103). This is a request for extension of a currently approved
information collection.
Abstract: The final rules \1\ created new information collection
requirements via Sec. Sec. 17.01, 18.04, 18.05, and 20.5.
Specifically, Sec. 17.01 provides for the filing of Form 102A, Form
102B and Form 71, as follows:
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\1\ See Final Rule, Ownership and Control Reports, Forms 102/
102S, 40/40S, and 71, 78 FR 69178 (Nov. 18, 2013). Terms used herein
and not otherwise defined herein shall have the meaning assigned to
such terms in the final rules or in the Commission's regulations.
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<bullet> Pursuant to Sec. 17.01(a), futures commission merchants
(``FCMs''), clearing members, and foreign brokers shall identify new
special accounts to the Commission on Form 102A;
<bullet> Pursuant to Sec. 17.01(b), clearing members shall
identify volume threshold accounts to the Commission on Form 102B; and
<bullet> Pursuant to Sec. 17.01(c), omnibus volume threshold
account originators and omnibus reportable sub-account originators
shall identify reportable subaccounts to the Commission on Form 71 when
requested via a special call by the Commission or its designee.
Additional reporting requirements arise from Sec. 18.04, which
results in the collection of information via Form 40 from and regarding
traders who own, hold, or control reportable positions; volume
threshold account controllers; persons who own volume threshold
accounts; reportable sub-account controllers; and persons who own
reportable sub-accounts.
Reporting requirements also arise from Sec. 20.5(a), which
requires reporting entities to submit Form 102S for swap counterparty
or customer consolidated accounts with reportable positions. In
addition, Sec. 20.5(b) requires every person subject to books or
records under current Sec. 20.6 to complete a 40S filing after a
special call upon such person by the Commission.
In addition to the reporting requirements summarized above, Sec.
18.05 imposes recordkeeping requirements upon: (1) Traders who own,
hold, or control a reportable futures or options on futures position;
(2) volume threshold account controllers; (3) persons who own volume
threshold accounts; (4) reportable sub-account controllers; and (5)
persons who own reportable subaccounts.
With respect to the collection of information, the CFTC invites
comments on:
<bullet> Whether the proposed collection of information is
necessary for the proper performance of the functions of the
Commission, including whether the information will have a practical
use;
<bullet> The accuracy of the Commission's estimate of the burden of
the proposed collection of information, including the validity of the
methodology and assumptions used;
<bullet> Ways to enhance the quality, usefulness, and clarity of
the information to be collected; and
<bullet> Ways to minimize the burden of collection of information
on those who are to respond, including through the use of appropriate
automated electronic, mechanical, or other technological collection
techniques or other forms of information technology, e.g., permitting
electronic submission of responses.
Burden Statement: The Commission estimates the burden of this
collection of information as follows:
Estimated Number of Respondents: 1,779.
Estimated Average Burden Hours per Respondent: 102.
Estimated Total Annual Burden Hours: 188,980.
Frequency of Collection: On occasion.
(Authority: 44 U.S.C. 3501 et seq.)
Dated: August 4, 2026.
Christopher Kirkpatrick,
Secretary of the Commission.
[FR Doc. 2026-16040 Filed 8-5-26; 8:45 am]
BILLING CODE 6351-01-P
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