Notification of Pending Legal Proceedings

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
60 Day Federal Notice 2012.docx.pdf	Supplementary Document	Uploaded 2012-03-02	Available
30 Day Federal Notice (2012).docx.pdf	Supplementary Document	Uploaded 2012-03-02	Available
3038-0033-30-day FRN [2008]pdf.pdf	Supplementary Document	Uploaded 2009-02-17	Available
3038-0033-60-day FRN (2008).pdf	Supplementary Document	Uploaded 2009-02-17	Available
3038-0033-Certification Signature Page for 2005.pdf	Supplementary Document	Uploaded 2008-10-30	Available
Supporting Statement 2012.doc	Supporting Statement A	Uploaded 2012-03-02	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
29078	Notification of Pending Legal Proceedings		Modified

ICR Details

OMB Control No: 3038-0033	ICR Reference No: 201203-3038-001
Status: Historical Active	Previous ICR Reference No: 200810-3038-005
Agency/Subagency: CFTC	Agency Tracking No:
Title: Notification of Pending Legal Proceedings
Type of Information Collection: Reinstatement without change of a previously approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/13/2012
	Date Received in OIRA: 03/02/2012
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2015	36 Months From Approved
Responses	1	0	0
Time Burden (Hours)	0	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: Commission Rule 1.60 requires contract markets and futures commission merchants and their principals to provide the Commission with certain information pertaining to materials legal proceedings in which they are involved.

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Authorizing Statute(s): US Code: 7 USC 1a Name of Law: Pending Legal Proceedings
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 80901	12/27/2011
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 12818	03/02/2012
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
Notification of Pending Legal Proceedings

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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	1	0	0	0	0	1
Annual Time Burden (Hours)	0	0	0	-10	0	10
Annual Cost Burden (Dollars)	0	0	0	-250	0	250

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: Miscellaneous Actions

Short Statement: There was a change in entities required to report.

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Annual Cost to Federal Government: $100

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]? No

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: 03/02/2012

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