CFTC Renews Ownership and Trader Reporting Forms
Published Date: 8/6/2026
Notice
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.
Analyzed Economic Effects
2 provisions identified: 0 benefits, 2 costs, 0 mixed.
Mandatory Ownership and Control Filings
If you are a market participant such as a futures commission merchant, clearing member, foreign broker, trader with reportable positions, or a controller or owner of volume threshold or reportable sub‑accounts, you must file identification and trader/account reports with the CFTC. The rules require Forms 102A/102B/102S, Form 71, Form 40 (and 40S after a special call), and recordkeeping under §18.05; some filings (e.g., Form 71 and 40S) are required when the Commission issues a special call.
Estimated Paperwork Burden (Hours & Respondents)
The CFTC estimates this collection will involve 1,779 respondents with an average burden of 102 hours per respondent and an estimated total annual burden of 188,980 hours. The agency requests public comment on the accuracy of these estimates and ways to reduce respondent burden.
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Key Dates
Department and Agencies
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