Rules Relating to the Operations and Activities of Commodity Pool Operations and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants
ICR 200812-3038-001
OMB: 3038-0005
Federal Form Document
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3038-0005 can be found here:
Rules Relating to the
Operations and Activities of Commodity Pool Operations and
Commodity Trading Advisors and to Monthly Reporting by Futures
Commission Merchants
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.
US Code:
7 USC
6 Name of Law: Commodity Pool Operators & Commodity Trading
Advisors
US Code: 7 USC 6 Name of Law: Rules Governing
CPO and CTA
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.
$0
No
Yes
Uncollected
Uncollected
Uncollected
Uncollected
John Nowlin
202-418-5427
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.