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
3038-005 supplemental statement (3-9-09).doc	Supplementary Document	Uploaded 2009-03-09	Available
3038-0005 Supporting Statement-pool reporting (3-9-09).docx	Supporting Statement A	Uploaded 2009-03-09	Available

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: 200911-3038-001
Status: Historical Active	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: Approved without change	Conclusion Date: 11/09/2009
	Date Received in OIRA: 11/09/2009
Terms of Clearance: Pre-approval contingent upon no substantive changes to this collection after adoption of the final rule. Otherwise this collection should be re-submitted to OMB for review.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2012	05/31/2009	11/30/2009
Responses	29,567	0	27,575
Time Burden (Hours)	178,378	0	166,360
Cost Burden (Dollars)	0	0	0

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Abstract: These rules 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 1a Name of Law: CPOs and CTAs
   US Code: 7 USC 2 Name of Law: CPOs and CTAs
   US Code: 7 USC 4 Name of Law: CPOs and CTAs
   US Code: 7 USC 6b, 6c, 6l, 6m, 6n, 60 Name of Law: CPOs and CTAs
   US Code: 7 USC 12 Name of Law: CPOs and CTAs
   US Code: 7 USC 23 Name of Law: CPOs and CTAs
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3038-AC38	Final or interim final rulemaking	74 FR 57585	11/09/2009

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Federal Register Notices & Comments
30-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 8220	02/24/2009
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 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	29,567	27,575	0	1,992	0	0
Annual Time Burden (Hours)	178,378	166,360	0	12,018	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

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 change relates to proposed amendments that will modify existing regulatory requirements by clarifying information that must be included in required periodic and annual reports filed by commodity pool operators. The expected effect of the proposed amended regulations will be to increase slightly, by approximately forty (40) minutes, the burden for this collection of information due to including specific fee and expense information in annual reports for funds of funds.

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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? 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)? No

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: 03/25/2009

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