Registration Under the Commodity Exchange Act

Forms and Documents

Document Name	Status
Form NOTICE7-R Registration Under the Commodity Exchange Act Form	Modified
Paper Reduction Attachment A (12-12-2007-ROCIS-).doc Supporting Statement B	2007-12-12
Supporting Statement--12-12-2007 (ROCIS-Amend per OMB) 0023.DOC Supporting Statement A	2007-12-12

IC Document Collections

IC ID	Document Title	Status
29059	Registration Under the Commodity Exchange Act Form	Modified

ICR Details

OMB Control No: 3038-0023	ICR Reference No: 200707-3038-001
Status: Historical Active	Previous ICR Reference No: 200406-3038-002
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 with change	Conclusion Date: 12/13/2007
	Date Received in OIRA: 08/30/2007
Terms of Clearance: The Agency has been notified that per 5 CFR 1320.8(b)(3) each form must contain a notice that informs the public of an estimate of the average burden of the collection, together with a request that the public direct to the agency any comments concerning the accuracy of this burden estimate and any suggestions for reducing the burden, and the fact that an agency may not conduct or sponsor; and a person is not required to respond to a collection of information unless it displays a valid OMB control number.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2010	36 Months From Approved	12/31/2007
Responses	73,646	0	81,465
Time Burden (Hours)	6,628	0	7,405
Cost Burden (Dollars)	0	0	0

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Abstract: This collection covers the paperwork requirements associated with the process of registration by futures industry intermediaries, including futures commission merchants, introducing brokers, commodity pool operators, commodity trading advisors, associated persons of each of the foregoing and floor brokers as well as floor traders. The Commission has authorized National Futures Association an industry self-regulatory organization and the only registered futures association, to perform the registration processing functions.

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 28960	05/23/2007
30-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 41500	07/24/2007
Did the Agency receive public comments on this ICR? Yes

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

IC Title	Form No.	Form Name
Registration Under the Commodity Exchange Act	NOTICE7-R, 8-R, 8-T, 7-W, 8-W, 3-R, 7-R	Notice Form 7-R ,   Firm Application ,   Individual Application ,   Individual Withdrawal ,   Firm Withdrawal ,   Withdrawal of Agricultural Trade Merchant ,   Supplemental Statement to Application for Request of ATM

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ICR Summary of Burden

	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	73,646	81,465	0	0	-7,819	0
Annual Time Burden (Hours)	6,628	7,405	0	0	-777	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

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

Burden Increase Due to:

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

Burden Reduction Due to:

Short Statement: Burden hours are reduced by 777 hours due to a decrease in the number of persons applying for and maintaining registration.

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Annual Cost to Federal Government: $200,000

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? Yes

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: 08/30/2007

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