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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:
3038-0005
ICR Reference No:
200911-3038-001
Status:
Historical Active
Previous ICR Reference No:
200601-3038-001
Agency/Subagency:
CFTC
Agency Tracking No:
Title:
Rules Relating to the Operations and Activities of Commodity Pool Operations and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants
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:
11/09/2009
Retrieve Notice of Action (NOA)
Date Received in OIRA:
11/09/2009
Terms of Clearance:
Pre-approval contingent upon no substantive changes to this collection after adoption of the final rule. Otherwise this collection should be re-submitted to OMB for review.
Inventory as of this Action
Requested
Previously Approved
Expiration Date
05/31/2012
05/31/2009
11/30/2009
Responses
29,567
0
27,575
Time Burden (Hours)
178,378
0
166,360
Cost Burden (Dollars)
0
0
0
Abstract:
These rules are intended to protect the public by assuring that Commodity Pool Operators and Commodity Trading Advisors disclose needed information and to permit the Commission to better monitor the activities of the registrants.
Authorizing Statute(s):
US Code:
7 USC 1a
Name of Law: CPOs and CTAs
US Code:
7 USC 2
Name of Law: CPOs and CTAs
US Code:
7 USC 4
Name of Law: CPOs and CTAs
US Code:
7 USC 6b, 6c, 6l, 6m, 6n, 60
Name of Law: CPOs and CTAs
US Code:
7 USC 12
Name of Law: CPOs and CTAs
US Code:
7 USC 23
Name of Law: CPOs and CTAs
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
3038-AC38
Final or interim final rulemaking
74 FR 57585
11/09/2009
Federal Register Notices & Comments
30-day Notice:
Federal Register Citation:
Citation Date:
74 FR 8220
02/24/2009
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
1
IC Title
Form No.
Form Name
Rules Relating to the Operations and Activities of Commodity Pool Operations and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants
ICR Summary of Burden
Total Approved
Previously Approved
Change Due to New Statute
Change Due to Agency Discretion
Change Due to Adjustment in Estimate
Change Due to Potential Violation of the PRA
Annual Number of Responses
29,567
27,575
0
1,992
0
0
Annual Time Burden (Hours)
178,378
166,360
0
12,018
0
0
Annual Cost Burden (Dollars)
0
0
0
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 change relates to proposed amendments that will modify existing regulatory requirements by clarifying information that must be included in required periodic and annual reports filed by commodity pool operators. The expected effect of the proposed amended regulations will be to increase slightly, by approximately forty (40) minutes, the burden for this collection of information due to including specific fee and expense information in annual reports for funds of funds.
Annual Cost to Federal Government:
$0
Does this IC contain surveys, censuses, or employ statistical methods?
No
Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002?
No
Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]?
Uncollected
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
Uncollected
Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?
No
Is this ICR related to the Pandemic Response?
Uncollected
Agency Contact:
John Nowlin 202-418-5427
Common Form ICR:
No
On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
(a) It is necessary for the proper performance of agency functions;
(b) It avoids unnecessary duplication;
(c) It reduces burden on small entities;
(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
(f) It indicates the retention periods for recordkeeping requirements;
(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
(i) Why the information is being collected;
(ii) Use of information;
(iii) Burden estimate;
(iv) Nature of response (voluntary, required for a benefit, or mandatory);
(v) Nature and extent of confidentiality; and
(vi) Need to display currently valid OMB control number;
(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
(i) It uses effective and efficient statistical survey methodology (if applicable); and
(j) It makes appropriate use of information technology.
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
Certification Date:
03/25/2009
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