Annual Report for Chief Compliance Officer of Registrants

ICR 201011-3038-008

OMB: 3038-0080

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3038-0080 201011-3038-008
Historical Inactive
CFTC
Annual Report for Chief Compliance Officer of Registrants
New collection (Request for a new OMB Control Number)   No
Regular
Comment filed on proposed rule 05/04/2011
Retrieve Notice of Action (NOA) 02/10/2011
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 include in the supporting statement of the next ICR--to be submitted to OMB at the final rule stage--a description of how the agency has responded to any public comments on the ICR, including comments on maximizing the practical utility of the collection and minimizing the burden.
  Inventory as of this Action Requested Previously Approved
36 Months From Approved
0 0 0
0 0 0
0 0 0

In accordance with the Commodity Exchange Act (CEA), as amended by the Dodd-Frank Act, the proposed regulation require swap dealers, major swap participants and futures commission merchants to designate a chief compliance officer establish specified compliance procedures and prepare and file an annual compliance report. The information collection would be used when conducting examination and oversight for compliance with the CEA and Commission regulations.

PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd-Frank Act
  
PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd - Frank Act

3038-AC96 Proposed rulemaking

  75 FR 70881 11/19/2010
No

1
IC Title Form No. Form Name
Annual Report for Chief Compliance Officer of Registrants

No
No
There is no burden decrease or increase. This is a new proposal

$212,976
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.
02/10/2011


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