Part 40, Provisions Common to Registered Entities

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Pt40Cover Sheet (FINAL).docx	Supplementary Document	Uploaded 2011-10-17	Available
30 day Federal Register.pdf	Supplementary Document	Uploaded 2011-10-14	Available
Correction to 3038 AD07.pdf	Supplementary Document	Uploaded 2011-10-14	Available
OMB Supporting Statement(final).doc	Supporting Statement A	Uploaded 2011-10-14	Available
60-day FRN (11-2-2010).pdf	Supplementary Document	Uploaded 2010-11-02	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
195098	Part 40, Provisions Common to Registered Entities		Modified

ICR Details

OMB Control No: 3038-0093	ICR Reference No: 201110-3038-001
Status: Historical Active	Previous ICR Reference No: 201011-3038-001
Agency/Subagency: CFTC	Agency Tracking No:
Title: Part 40, Provisions Common to Registered Entities
Type of Information Collection: Existing collection in use without an OMB Control Number	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/02/2011
	Date Received in OIRA: 10/18/2011
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2014	36 Months From Approved
Responses	70	0	0
Time Burden (Hours)	1,412,064	0	0
Cost Burden (Dollars)	197,688,960	0	0

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Abstract: The CFTC must promulgate rules that amend the process by which registered entities submit new rules, rule amendments or products to the Commission for review. The entities affected include Designated Contract Markets, Designated Clearing Organizations, Swap Execution Facilities, and Swap Data Repositories.

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Authorizing Statute(s): US Code: 7 USC 7a-2(e) Name of Law: Procedures for Registered Entities, etc.
   PL: Pub.L. 111 - 203 124 Stat 1376 (2010) Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
  

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

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3038-AD07	Final or interim final rulemaking	76 FR 44776	07/27/2011

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 67282	11/02/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 44776	07/27/2011
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
Part 40, Provisions Common to Registered Entities

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ICR Summary of Burden

table that charts list 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	70	0	0	70	0	0
Annual Time Burden (Hours)	1,412,064	0	0	1,412,064	0	0
Annual Cost Burden (Dollars)	197,688,960	0	0	197,688,960	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: Program change due to statutory requirements.

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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]? 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: 10/18/2011

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