Registration of Swap Dealers and Major Swap Participants

Forms and Documents

Document	Type	Status	Availability
Form 8-R Registration of Swap Dealers and Major Swap Participants	Form and Instruction	Modified	Available
Updated Draft PRA Supporting Statement (Registration final rules) 2012 01 11.doc	Supporting Statement A	Uploaded 2012-01-13	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
195292	Registration of Swap Dealers and Major Swap Participants	Form and Instruction	Modified

ICR Details

OMB Control No: 3038-0072	ICR Reference No: 201112-3038-010
Status: Historical Active	Previous ICR Reference No: 201011-3038-005
Agency/Subagency: CFTC	Agency Tracking No:
Title: Registration of Swap Dealers and Major Swap Participants
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: Approved without change	Conclusion Date: 04/25/2012
	Date Received in OIRA: 01/17/2012
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2015	36 Months From Approved
Responses	770	0	0
Time Burden (Hours)	629	0	0
Cost Burden (Dollars)	15,725	0	0

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Abstract: Section 731(b) of the Dodd-Frank Act requires swap dealers and major swap participants to register with the Commission. Section 731(d) of the Dodd-Frank Act requires the Commission to adopt rules for persons that are registered as swap dealers or major swap participants. The Collections are in connection with the registration process for registering swap dealers and major swap participants.

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Authorizing Statute(s): PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd-Frank 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-AC95	Final or interim final rulemaking	75 FR 71379	11/23/2010

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 71379	11/23/2010
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
Registration of Swap Dealers and Major Swap Participants	8-T, 3-R, 8-R, 7 - R, 7W	Individual Application ,   Individual Withdrawal ,   Changes and Corrections in Registration Information ,   Firm Application ,   Firm Withdrawal

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ICR Summary 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	770	0	752	18	0	0
Annual Time Burden (Hours)	629	0	1,820	-1,191	0	0
Annual Cost Burden (Dollars)	15,725	0	15,725	0	0	0

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

Burden Increase Due to:

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

Burden Reduction Due to: Changing Regulations

Short Statement: The change in the burden is as a result of new Regulations as noted.

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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: 01/17/2012

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