Rules Relating to the Operations and Activities of Commodity Pool Operations and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants

Forms and Documents

Document	Type	Status	Availability
3038-0005-PRAC-PR-30-day FRN.pdf	Supplementary Document	Uploaded 2009-02-03	Available
3038-Revised NFA Supplemental Statement (2)-12-08.doc	Supporting Statement B	Uploaded 2008-12-03	Repair queued
3038-0005-PRAC-proposed rule-Support Statmt (12-08).pdf	Supporting Statement A	Uploaded 2008-12-02	Repair queued

IC Document Collections

IC ID	Collection	Type	Status	Form
29006	Rules Relating to the Operations and Activities of Commodity Pool Operations and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants		Modified

ICR Details

OMB Control No: 3038-0005	ICR Reference No: 200812-3038-001
Status: Historical Inactive	Previous ICR Reference No: 200601-3038-001
Agency/Subagency: CFTC	Agency Tracking No:
Title: Rules Relating to the Operations and Activities of Commodity Pool Operations and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Preapproved	Conclusion Date: 02/03/2009
	Date Received in OIRA: 12/05/2008
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/29/2012	05/31/2009	11/30/2009
Responses	27,283	0	27,575
Time Burden (Hours)	164,598	0	166,360
Cost Burden (Dollars)	0	0	0

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Abstract: These regulations are intended to protect the public by assuring that Commodity Pool Operators and Commodity Trading Advisors disclose needed information and to permit the Commission to better monitor the activities of the registrants.

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Authorizing Statute(s): US Code: 7 USC 6 Name of Law: Commodity Pool Operators & Commodity Trading Advisors
  

Citations for New Statutory Requirements: US Code: 7 USC 6 Name of Law: Rules Governing CPO and CTA

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3038-AC67	Proposed rulemaking	73 FR 71968	11/26/2008

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Federal Register Notices & Comments
30-day Notice:	Federal Register Citation:	Citation Date:
	73 FR 71968	11/26/2008
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
Rules Relating to the Operations and Activities of Commodity Pool Operations and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants

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ICR Summary of Burden

	Total Request	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	27,283	27,575	0	-292	0	0
Annual Time Burden (Hours)	164,598	166,360	0	-1,762	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 Commission is proposing to amend Regulations 4.26(d) and 4.36(d) to require commodity pool operators and commodity trading advisors to electronically file their Disclosure Documents with the National Futures Association (NFA). These amendments are being proposed in response to a petition from NFA, and they would be consistent with existing electronic filing requirements with NFA in other areas, such as registration.

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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: 12/05/2008

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