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)

Issuing agencies

Abstract

In compliance with the Paperwork Reduction Act of 1995 (PRA), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Information and Regulatory Affairs (OIRA), of the Office of Management and Budget (OMB), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden.

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<title>Federal Register, Volume 91 Issue 208 (Thursday, October 29, 2026)</title>
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[Federal Register Volume 91, Number 208 (Thursday, October 29, 2026)]
[Notices]
[Pages 68116-68117]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-22072]


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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: In compliance with the Paperwork Reduction Act of 1995 (PRA), 
this notice announces that the Information Collection Request (ICR) 
abstracted below has been forwarded to the Office of Information and 
Regulatory Affairs (OIRA), of the Office of Management and Budget 
(OMB), for review and comment. The ICR describes the nature of the 
information collection and its expected costs and burden.

DATES: Comments must be submitted on or before November 30, 2026.

ADDRESSES: Written comments and recommendations for the proposed 
information collection should be submitted within 30 days of this 
notice's publication to OIRA, at <a href="https://www.reginfo.gov/public/do/PRAMain">https://www.reginfo.gov/public/do/PRAMain</a>. Please find this particular information collection by 
selecting ``Currently under 30-day Review--Open for Public Comments'' 
or by using the website's search function. Comments can be entered 
electronically by clicking on the ``comment'' button next to the 
information collection on the ``OIRA Information Collections Under 
Review'' page, or the ``View ICR--Agency Submission'' page. A copy of 
the supporting statement for the collection of information discussed 
herein may be obtained by visiting <a href="https://www.reginfo.gov/public/do/PRAMain">https://www.reginfo.gov/public/do/PRAMain</a>.
    In addition to the submission of comments to <a href="https://Reginfo.gov">https://Reginfo.gov</a> as 
indicated above, a copy of all comments submitted to OIRA may also be 
submitted to the Commodity Futures Trading Commission (the 
``Commission'' or ``CFTC'') 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#bcccdfd4dddadad5d2fcdfdac8df92dbd3ca"><span class="__cf_email__" data-cfemail="e595868d8483838c8ba586839186cb828a93">[email&#160;protected]</span></a>, and refer to OMB Control No. 3038-
0103.

SUPPLEMENTARY INFORMATION: 
    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

[[Page 68117]]

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 all 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.
    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. On August 6, 2026, the Commission 
published in the Federal Register notice of the proposed revision of 
this information collection and provided 60 days for public comment on 
the proposed extension, 91 FR 50813 (``60-Day Notice''). The Commission 
received one comment from an anonymous commenter stating that the 
burden analysis in the 60-Day Notice ``aggregates seven distinct 
reporting and recordkeeping instruments (Sec. Sec.  17.01, 18.04, 
18.05, 20.5) across 1,779 heterogeneous entities without itemizing 
form-specific burden.'' The Commission, however, provides detailed 
burden estimates in its supporting statement. Moreover, the commenter 
did not otherwise comment on the Commission's burden estimates or the 
utility of the information collected. Accordingly, the Commission is 
retaining its burden estimates.
    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: October 27, 2026.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2026-22072 Filed 10-28-26; 8:45 am]
BILLING CODE 6351-01-P


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