THE PROPOSED NEW RULE GOVERNING ETHICS
TRAINING FOR REGISTRANTS IS INTENDED TO CARRY OUT THE CONGRESSIONAL
MANDATE FOR SUCH TRAINING SET FORTH IN THE FUTURES TRADING
PRACTICES ACT OF 1992. THE PROPOSED RECORDKEEPING REQUIREMENT OF
THE RULE WOULD MANDATE MAINTENANCE OF A RECORD OF ATTENDANCE AT
SUCH TRAINING.
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:
(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;
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.