Part 40, Provisions Common to Registered Entities

Forms and Documents

Document	Type	Status	Availability
3038-0093--30-day FRN.pdf	Supplementary Document	Uploaded 2012-04-05	Available
Part 40 PRA Supporting Statement for New IC 3-2012).docx	Supporting Statement B	Uploaded 2012-03-13	Repair queued
60-day-FRN (Agency Info Collec Activities (2-15-12).pdf	Supplementary Document	Uploaded 2012-03-12	Available
Pt40Cover Sheet (FINAL).docx	Supplementary Document	Uploaded 2011-10-17	Repair queued
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	Source copy available
60-day FRN (11-2-2010).pdf	Supplementary Document	Uploaded 2010-11-02	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
201522	Agency Information Collection Activities; Proposed Collection, Comment Request		New
195098	Part 40, Provisions Common to Registered Entities		Removed

ICR Details

OMB Control No: 3038-0093	ICR Reference No: 201203-3038-005
Status: Historical Active	Previous ICR Reference No: 201110-3038-001
Agency/Subagency: CFTC	Agency Tracking No:
Title: Part 40, Provisions Common to Registered Entities
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 09/25/2012
	Date Received in OIRA: 05/21/2012
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2015	36 Months From Approved	12/31/2014
Responses	7,000	0	70
Time Burden (Hours)	14,000	0	1,412,064
Cost Burden (Dollars)	980,000	0	197,688,960

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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: 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:
	77 FR 8817	02/15/2012
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 20613	04/05/2012
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
Agency Information Collection Activities; Proposed Collection, Comment Request
Part 40, Provisions Common to Registered Entities

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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	7,000	70	0	0	6,930	0
Annual Time Burden (Hours)	14,000	1,412,064	0	0	-1,398,064	0
Annual Cost Burden (Dollars)	980,000	197,688,960	0	0	-196,708,960	0

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

Burden Increase Due to: Miscellaneous Actions

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

Burden Reduction Due to: Miscellaneous Actions

Short Statement: Due to a calculation error in the proposed rulemaking, the estimated information collection burden in the proposed part 40 rulemaking was quoted as 8,300 hours; the estimated information collection burden should have been 22,664. Therefore, the estimated average hour burden would have been 323.771 hours.

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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: 05/21/2012

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