Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations

Registration under the Commodity Exchange Act

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0023 can be found here:

Documents and Forms

Document Name Document Type
Form 7R Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations Form and Instruction
7R Firm Application Form7-R-entire.pdf www.nfa.futures.org/registration-membership/templates-and-forms/Form7-R-entire.pdf Form and Instruction
8R Individula Application Form8-R-entire.pdf www.nfa.futures.org/registration-membership/templates-and-forms/8rFormentire.pdf Form and Instruction
3038-0023 Supporting Statement.part 4 NPRM 10-9-18.docx supporting statement for IC IC Document

Information Collection (IC) Details

IC Title:	Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 4 17 CFR 145 17 CFR 147

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	7R	Firm Application	Form7-R-entire.pdf	https://www.nfa.futures.org/registration-membership/templates-and-forms/Form7-R-entire.pdf	Yes	Yes	Fillable Fileable
Form and Instruction	8R	Individula Application	Form8-R-entire.pdf	https://www.nfa.futures.org/registration-membership/templates-and-forms/8rFormentire.pdf	Yes	Yes	Fillable Fileable

Line of Business: General Government

Subfunction: Executive Functions

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 77,457	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Requested	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	77,689	-420	78,109
Annual IC Time Burden (Hours)	6,992	-38	7,030
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

Title	Document	Date Uploaded
supporting statement for IC	3038-0023 Supporting Statement.part 4 NPRM 10-9-18.docx	10/09/2018

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.