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OMB Control No: 3038-0103	ICR Reference No: 202606-3038-004
Status: Received in OIRA	Previous ICR Reference No: 202308-3038-002
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	Date Submitted to OIRA: 07/01/2026

	Requested	Previously Approved
Expiration Date	36 Months From Approved	12/31/2026
Responses	902,012	660,412
Time Burden (Hours)	278,004	188,980
Cost Burden (Dollars)	0	0

ICR Summary of Burden

	Total Request	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	902,012	660,412	241,600
Annual Time Burden (Hours)	278,004	188,980	89,024
Annual Cost Burden (Dollars)	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

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

Burden Reduction Due to:

Short Statement: The Commission is proposing amendments to its regulations associated with the information collections covered by OMB Collection 3038-0103. The Commission is updating its burden estimates to reflect a revised total of 2,178 respondents and an increase to an anticipated 902,012 responses annually. These changes would yield an anticipated total of 278,004 burden hours an annually (an increase of 89,024 burden hours).

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

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