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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:
201001-3038-005
Status:
Historical Inactive
Previous ICR Reference No:
200911-3038-001
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:
Preapproved
Conclusion Date:
04/16/2010
Retrieve Notice of Action (NOA)
Date Received in OIRA:
02/19/2010
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
04/30/2013
36 Months From Approved
05/31/2012
Responses
37,944
0
29,567
Time Burden (Hours)
183,700
0
178,378
Cost Burden (Dollars)
0
0
0
Abstract:
A new category of registrant - retain foreign exchange dealers - and previously unregistered intermediaries are, for the first time, required to register pursuant to amendments to the Commodity Exchange Act found in the Food Conservation, and Energy Act of 2008, Pub. L. No. 110-246, 122 Stat. 1651, 2189-2204 (2009). The number of entities required to comply with Part 4 requirements, including distribution of disclosure documents and filings requesting exemption, has therefore, increased.
Authorizing Statute(s):
PL:
Pub.L. 110 - 246 122 Stat. 1651, 2189-2204
Name of Law: Food, Conservation and Energy Act of 2008
Citations for New Statutory Requirements:
PL: Pub.L. 110 - 246 122 Stat. 1651, 2189-2204 Name of Law: Food, Conservation, and Energy Act of 2008
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
3038-AC61
Proposed rulemaking
75 FR 3282
01/20/2010
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
75 FR 3282
01/20/2010
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 Request
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
37,944
29,567
0
8,377
0
0
Annual Time Burden (Hours)
183,700
178,378
0
5,322
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 number of entities now required to comply with Part 4 of the Act specifications -- including distribution of disclosure documents & filings requesting exemption -- is the contributory factor for the increase in burden.
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:
02/19/2010
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