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View ICR - OIRA Conclusion

OMB Control No: 3038-0005	ICR Reference No: 201105-3038-003
Status: Historical Active	Previous ICR Reference No: 200911-3038-001
Agency/Subagency: CFTC	Agency Tracking No:
Title: Relief From Compliance With Certain Disclosure Reporting and Recordkeeping Requirements for Registered CPOs for Commodity Pools Listed for Trading on a National Securities Exchange CPO Registration E
Type of Information Collection: Revision of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 10/05/2011
Retrieve Notice of Action (NOA)	Date Received in OIRA: 08/04/2011
Terms of Clearance: CFTC revised supporting statement to reflect public comments received.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2014	36 Months From Approved	05/31/2012
Responses	9,516	0	29,567
Time Burden (Hours)	370,530	0	178,378
Cost Burden (Dollars)	0	0	0

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

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	9,516	29,567	-20,051
Annual Time Burden (Hours)	370,530	178,378	192,152
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 disclosure, filing and recordkeeping requirements within Part 4 of the Commission's regulations were established to assist customers and to facilitate the Commission and NFA in monitoring compliance with the Part 4 regulations. These records also provide the Commission with its source of independent aggregated financial information concerning the commodity pool industry, which informs the Commission's policy decision making. The notice filing by which a CPO would claim the relief provided by the proposed amendments will enable the Commission and NFA to ensure that persons who are not eligible to claim the proposed relief are complying with the normal requirements of Regulations 4.21, 4.22 and 4.23.