Large Trader Reports

Forms and Documents

Document Name	Status
Form 102 Large Trader Reports Form	Modified
SuppSt0009-Final(Amended-ROCIS-12-13) (2)NPRM-2007.doc Supporting Statement A	2007-12-14

IC Document Collections

IC ID	Document Title	Status
29017	Large Trader Reports Form	Modified

ICR Details

OMB Control No: 3038-0009	ICR Reference No: 200706-3038-002
Status: Historical Inactive	Previous ICR Reference No: 200601-3038-003
Agency/Subagency: CFTC	Agency Tracking No:
Title: Large Trader Reports
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 12/14/2007
	Date Received in OIRA: 06/28/2007
Terms of Clearance: In accordance with 5 CFR 1320, OMB is withholding approval at this time. Prior to publication of the final rule, the agency must submit to OMB a summary of all comments related to the information collection contained in the proposed rule and the agency response. The agency should clearly indicate any changes made to the information collection as a result of these comments.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2009	36 Months From Approved	02/28/2009
Responses	62,420	0	62,420
Time Burden (Hours)	18,574	0	18,574
Cost Burden (Dollars)	0	0	0

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Abstract: This data collection operation relates to the Federal regulation of contract markets, clearing members, futures commission merchants, foreign brokers, and large traders holding futures and options positions in commodities.

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Authorizing Statute(s): US Code: 7 USC 6a, c, f, g, i, m, n Name of Law: CFMA
   US Code: 7 USC 7, 7a Name of Law: CFMA
   US Code: 5 USC 552, 552(b) Name of Law: CFMA
   US Code: 7 USC 1a Name of Law: CFMA
   US Code: 7 USC 2, 2a Name of Law: CFMA
   US Code: 7 USC 12a Name of Law: CFMA
   US Code: 7 USC 19 Name of Law: CFMA
   US Code: 7 USC 21 Name of Law: CFMA
  

Citations for New Statutory Requirements: US Code: 7 USC 5(b) Name of Law: CFMA

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3038-AC05	Proposed rulemaking	72 FR 34417	06/22/2007

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 34417	06/22/2007
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Large Trader Reports	102, 40, 204, 304	CFTC - Identification of "Special Accounts" ,   Statement of Reporting Trader ,   Statement of Cash Positions in Grains, Soybeans, Soybean Oil, and Soybean Meal ,   Statement of Cash Positions in Cotton

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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 Proposed Amendment would add to the types of information specified in section 21.02, which must be furnished upon special call information re: exchanges of futures for physical commodities or derivatives positions, and information re: delivery notices issued and stopped; and delegate to the Director of the Division of Market Oversite and the Director's delegatees, the ability to issue special calls pursuant to sections 21.01 and 21.02. Although Sec. 21.02 applies to FCMs, contract market members, IBs and foreign brokers, the first three are already required to keep the designated information, and provide it on demand, under other sections of the regulations. Therefore, the notice only affects foreign brokers.

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Annual Cost to Federal Government: $1,250,000

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)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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: 06/28/2007

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