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View ICR - OIRA Conclusion

OMB Control No: 3038-0023	ICR Reference No: 201806-3038-002
Status: Historical Active	Previous ICR Reference No: 201604-3038-003
Agency/Subagency: CFTC	Agency Tracking No:
Title: Registration under the Commodity Exchange Act
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: 01/30/2019
Retrieve Notice of Action (NOA)	Date Received in OIRA: 12/12/2018
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2020	36 Months From Approved	06/30/2019
Responses	12,265	0	78,307
Time Burden (Hours)	7,735	0	7,525
Cost Burden (Dollars)	49,500	0	49,500

Abstract: This ICR covers the Commodity Futures Trading Commission (“Commission” or “CFTC”) amendments to its Form 8-R. The 8-R is the application form that individuals must use to register with the Commission as an associated person of a registrant, floor broker, or floor trader, or to be listed as a principal of a registrant (collectively, “applicants”). 17 CFR 3.10(a)(2), 3.11(a), and 3.12(c). Form 8-R requests information about the applicant that is necessary to assess the applicant’s fitness to engage in business as a derivatives professional, subject to regulation and oversight by the Commission. Individual applicants have been required to use Form 8-R since 1977. Revision of Registration Forms and Amendment of Related Rules, 42 FR 23988 (May 11, 1977) (Form 8-R replaced Forms 2-R, 4-R and 94). This ICR also addresses the implications of the Form 3-R cancellation. With regards to the Alternative to Fingerprinting Requirement For Foreign Natural Persons: the alternative to fingerprinting recognized the limitations on usefulness of fingerprints of foreign nationals while also ensuring the continued protection of market participants and the public through submission of a certification to NFA relating to the background check of the relevant foreign natural person and maintainance of records relating thereto pursuant to Commission regulation 3.21. With regards to Commodity Pool Operators and Commodity Trading Advisors; Amendments to Compliance Obligations: This collection covers the Commodity Futures Trading Commission's data collection authority for CPO's and CTAs, that are consistent with the data collection required under Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act, for entities registered with both the Commission and the Securities and Exchange Commission.

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	12,265	78,307	-66,042
Annual Time Burden (Hours)	7,735	7,525	210
Annual Cost Burden (Dollars)	49,500	49,500	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Existing collections 3038-0023 and 3038-0072 (1st ICs respectively) are being amended to reflect a modest increase in the information collection burdens associated with the new version of Form 8-R. The collection burden associated with the new version of Form 8-R increased by 0.10 hours, resulting in a new collection burden of 0.9 hours for Form 8-R. In addition, an additional .10 hours from the burden associated with the cancelled Form 3-R, has been reassigned to Form 8-R. Thus, the new burden for Form 8-R is estimated to be 1 hour. However, the total burden estimate reflects the average number of hours per response across all of the registration forms (Forms 7-R, 8-R, 7-W, and 8-T), which is consistent with the historical practice of the Commission of addressing the burden estimates in aggregate, rather than separately on a form-by-form basis. The Commission is also amending collections 3038-0023 and 3038-0072 to decrease the number of responses to more accurately reflect that Form 8-R is one of four Commission registration forms (Forms 7-R, 8-R, 7-W, and 8-T), all of which are filed on an “as needed” basis, upon registering or when registration information changes, including withdrawal of registration.

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination. Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination. Yes

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Yes

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: Herminio Castro 202 418-6705 hcastro@cftc.gov