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
0005supportingstatement 01-2010.pdf	Supporting Statement A	Uploaded 2010-01-26	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: 201001-3038-005
Status: Historical Inactive	Previous ICR Reference No: 200911-3038-001
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: 04/16/2010
	Date Received in OIRA: 02/19/2010
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	04/30/2013	36 Months From Approved	05/31/2012
Responses	37,944	0	29,567
Time Burden (Hours)	183,700	0	178,378
Cost Burden (Dollars)	0	0	0

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Abstract: A new category of registrant - retain foreign exchange dealers - and previously unregistered intermediaries are, for the first time, required to register pursuant to amendments to the Commodity Exchange Act found in the Food Conservation, and Energy Act of 2008, Pub. L. No. 110-246, 122 Stat. 1651, 2189-2204 (2009). The number of entities required to comply with Part 4 requirements, including distribution of disclosure documents and filings requesting exemption, has therefore, increased.

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Authorizing Statute(s): PL: Pub.L. 110 - 246 122 Stat. 1651, 2189-2204 Name of Law: Food, Conservation and Energy Act of 2008
  

Citations for New Statutory Requirements: PL: Pub.L. 110 - 246 122 Stat. 1651, 2189-2204 Name of Law: Food, Conservation, and Energy Act of 2008

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3038-AC61	Proposed rulemaking	75 FR 3282	01/20/2010

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 3282	01/20/2010
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	37,944	29,567	0	8,377	0	0
Annual Time Burden (Hours)	183,700	178,378	0	5,322	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 number of entities now required to comply with Part 4 of the Act specifications -- including distribution of disclosure documents & filings requesting exemption -- is the contributory factor for the increase in burden.

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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: 02/19/2010

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