Agency will
resubmit collection once addressing comments received on proposed
rule, if any.
Inventory as of this Action
Requested
Previously Approved
36 Months From Approved
0
0
0
0
0
0
0
0
0
The Commodity Exchange Act, as amended
by the Dodd-Frank Act, requires futures commission merchants (FCMs)
and introducing brokers (IBs) to implement specified conflicts of
interest systems and procedures. The proposed regulation would
require FCMs and IBs to develop written conflicts of interest
procedures and disclosures and to maintain related records. The
information collected would be used by the Commission to evaluate
the completeness and effectiveness of those procedures and
disclosures.
There is no burdense or
increase. It is a new proposed rule
$0
No
No
No
No
No
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.