Notice Registration as a Futures Commission Merchant or Introducing Broker for Certain Securities Brokers or Dealers

ICR 200206-3038-003

OMB: 3038-0023

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3038-0023 200206-3038-003
Historical Active 200205-3038-001
CFTC
Notice Registration as a Futures Commission Merchant or Introducing Broker for Certain Securities Brokers or Dealers
No material or nonsubstantive change to a currently approved collection   No
Regular
Approved without change 06/05/2002
Retrieve Notice of Action (NOA) 06/05/2002
  Inventory as of this Action Requested Previously Approved
08/31/2004 08/31/2004 07/31/2004
59,934 0 59,934
8,339 0 8,339
0 0 0

The proposed new rule would provide for notice registration as a futures commission merchant or introducing broker in the case of a broker or dealer registered with the Securities and Exchange Commission that, among other things, limits its involvement with commodity interests to security futures products.

None
None


No

1
IC Title Form No. Form Name
Notice Registration as a Futures Commission Merchant or Introducing Broker for Certain Securities Brokers or Dealers 3R, 7R, 7W, 8R, 8T, 8W

  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 59,934 59,934 0 0 0 0
Annual Time Burden (Hours) 8,339 8,339 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected

  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:
 
 
 
 
 
 
 
    (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.
06/05/2002


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