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View ICR - OIRA Conclusion

OMB Control No: 3038-0103	ICR Reference No: 202010-3038-007
Status: Historical Active	Previous ICR Reference No: 201707-3038-002
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: Revision of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 01/08/2021
	Date Received in OIRA: 10/28/2020
Terms of Clearance: The the changes approved in this ICR are due to change in agency estimate.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2024	36 Months From Approved	01/31/2021
Responses	660,412	0	225,742
Time Burden (Hours)	188,080	0	189,995
Cost Burden (Dollars)	18,898,000	0	14,273,667

Authorizing Statute(s): PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd-Frank
US Code: 7 USC 6a, 6c(b), 6g, 6i, 6t,6s, 7b-3 Name of Law: Reporting & Recordkeeping

Citations for New Statutory Requirements: US Code: 7 USC 6i Name of Law: Reports of deals equal to or in excess of trading limits
US Code: 7 USC 6t Name of Law: Large swap trader reporting
US Code: 7 USC 6s Name of Law: Registration and regulation of swap dealers and major swap participants
PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd-Frank
US Code: 7 USC 7b-3 Name of Law: Swap execution facilities
US Code: 7 USC 6a Name of Law: Excessive Speculation
US Code: 7 USC 6g Name of Law: Reporting and recordkeeping

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	660,412	225,742	434,670
Annual Time Burden (Hours)	188,080	189,995	-1,915
Annual Cost Burden (Dollars)	18,898,000	14,273,667	4,624,333

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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: Change results from changes to the estimates of the number of respondents, responses, and an increase in estimated hourly costs based on the most recent data.

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: Gail Scott 202 418-5139 gscott@cftc.gov

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