Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.

View ICR - OIRA Conclusion

OMB Control No: 3038-0103	ICR Reference No: 202308-3038-002
Status: Active	Previous ICR Reference No: 202010-3038-007
Agency/Subagency: CFTC	Agency Tracking No:
Title: Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/21/2023
Retrieve Notice of Action (NOA)	Date Received in OIRA: 11/13/2023
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2026	36 Months From Approved	01/31/2024
Responses	660,412	0	660,412
Time Burden (Hours)	188,980	0	188,080
Cost Burden (Dollars)	0	0	18,898,000

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	660,412	660,412	0
Annual Time Burden (Hours)	188,980	188,080	900
Annual Cost Burden (Dollars)	0	18,898,000	-18,898,000

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: There are no program changes. The Commission is updating its burden hour estimates as described in Attachment A. In addition, during the prior renewal cycle, the labor costs associated with reported burden hours were entered into ROCIS as a separate cost burden ($). Per the instructions on page 40 of the ROCIS User Guide, which provides that agencies "do not report as a dollar cost any burden reported in hours" on the ICR Summary of Burden worksheet, the entry for these labor costs associated with the reported burden hours have been removed. The labor costs associated with the reported burden hours are provided in Attachment A of the Supporting Statement. There are no additional capital costs or operating and maintenance costs associated with this collection.

Annual Cost to Federal Government: $454,955

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination. Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination. Yes

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Yes

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

Agency Contact: Kenny Wright 202 326-2907 kwright@ftc.gov