Rules Pertaining to Contract Markets and Their Members

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
PRA-3038-0022-Attachment A of Suppt Stmt (10-2007).doc	Supporting Statement B	Uploaded 2007-10-30	Available
PRA-3038-0022-SUPPORTING STATEMENT 10-07.doc	Supporting Statement A	Uploaded 2007-10-30	Available
3038-0022- Signed 2004 Certification (for ROCIS).pdf	Supplementary Document	Uploaded 2007-10-29	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
29050	Rules Pertaining to Contract Markets and Their Members		Modified

ICR Details

OMB Control No: 3038-0022	ICR Reference No: 200710-3038-002
Status: Historical Active	Previous ICR Reference No: 200408-3038-002
Agency/Subagency: CFTC	Agency Tracking No:
Title: Rules Pertaining to Contract Markets and Their Members
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: 12/04/2007
	Date Received in OIRA: 10/31/2007
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2010	36 Months From Approved	12/31/2007
Responses	305,371	0	305,996
Time Burden (Hours)	769,534	0	770,527
Cost Burden (Dollars)	0	0	0

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Abstract: Section 5c(c) of the Commodity Exchange Act, 7 U.S.C. 7a-2(c), establishes procedures for registered entities (designated contract markets, registered derivatives transaction execution facilities and registered derivatives clearing organizations) to implement new rules and rule amendments by either seeking prior approval or (for most rules) certifying to the Commission that such rules or rule amendments do not violate the Act or Commission regulations.

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Authorizing Statute(s): US Code: 7 USC 7a-2(c) Name of Law: Procedures for Registered Entities (designated contract markets, registered derivatives . . .)
  

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 45759	08/15/2007
30-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 59515	10/16/2007
Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

IC Title	Form No.	Form Name
Rules Pertaining to Contract Markets and Their Members

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ICR Summary of Burden

table that charts list 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	305,371	305,996	0	-625	0	0
Annual Time Burden (Hours)	769,534	770,527	0	-993	0	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The prior approval in 2004, an error was made in the total responses. It was listed as 305,996, but should have been recorded as 305,371.

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Annual Cost to Federal Government: $0

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: 10/31/2007

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