Regulation 16.03 - Ownership and control report

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
(New) - OCR (Alvarez).pdf	Supplementary Document	Uploaded 2010-07-23	Available
OCR - Supporting Statement 6-29-2010 (3).doc	Supporting Statement A	Uploaded 2010-10-25	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
192741	Regulation 16.03 - ownership and control report		New

ICR Details

OMB Control No: 3038-0065	ICR Reference No: 201004-3038-002
Status: Historical Inactive	Previous ICR Reference No:
Agency/Subagency: CFTC	Agency Tracking No:
Title: Regulation 16.03 - Ownership and control report
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule	Conclusion Date: 10/25/2010
	Date Received in OIRA: 07/26/2010
Terms of Clearance: OMB files this comment in accordance with 5 CFR 1320.11( c ). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). In accordance with 5 CFR 1320, OMB is withholding approval at this time. The agency shall examine public comment in response to the NPRM and will describe in the preamble of the final rule how the agency has maximized the practical utility of the collection and minimized the burden. The next submission to OMB must include the draft final rule.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date		36 Months From Approved
Responses	0	0	0
Time Burden (Hours)	0	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: The Commission's need for this information reflects fundamental changes in the technology, products, and platforms of U.S. futures trading. The information collected will be used to enhance market transparency; increase trade practice and market surveillance capabilities; leverage existing surveillance systems and data; and facilities enforcement and research programs. Respondents include any entity required to provide the Commission with trade data on a regular basis.

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Authorizing Statute(s): US Code: 7 USC 2, 2(h)(7) Name of Law: Food, Conservation & Energy Act
   US Code: 7 USC 6a, 6c, 6g, 6i Name of Law: Food, Conservation & Energy Act
   US Code: 7 USC 7, 7a and 12a Name of Law: Food, Conservation & Energy Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3038-AC63	Proposed rulemaking	75 FR 41775	07/19/2010

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 41775	07/19/2010
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
Regulation 16.03 - ownership and control report

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Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Burden neither increased or decreased as this is the initial submission for a new proposed rulemaking.

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Annual Cost to Federal Government: $275,000

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]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Yes

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: 07/26/2010

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