Disclosure and Retention of Certain Information Relating to Cleared Swaps Customer Collateral

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
SUPPORTING STATEMENT 0091 - (BEL) AMENDED 02 05 13.docx	Supporting Statement A	Uploaded 2013-02-06	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
198102	Protection of Cleared Swap Customer Contracts and Collateral Conforming Amendments to the Commodity Broker Bankruptcy Provision		Modified

ICR Details

OMB Control No: 3038-0091	ICR Reference No: 201211-3038-005
Status: Historical Inactive	Previous ICR Reference No: 201201-3038-002
Agency/Subagency: CFTC	Agency Tracking No:
Title: Disclosure and Retention of Certain Information Relating to Cleared Swaps Customer Collateral
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 02/22/2013
	Date Received in OIRA: 11/14/2012
Terms of Clearance: OMB files this comment in accordance with 5 CFR 1320.11( c ). The agency shall examine public comment in response to the NPRM and will describe and respond to any public comments on the collection in the supporting statement submitted with the ICR at the final rule stage.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2013	36 Months From Approved	03/31/2013
Responses	112	0	112
Time Burden (Hours)	36,500	0	36,500
Cost Burden (Dollars)	1,212	0	1,212

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Abstract: Revising collection to correspond with proposed rules that would enhance the ability of the Commission and the self-regulatory organization subject to its oversight to monitor FCMs for compliance and customer collateral protection obligations contained in the CEA and its implementing regulation, to guard against market disruptions

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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-AD88	Proposed rulemaking	77 FR 67866	11/14/2012

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 67866	11/14/2012
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
Protection of Cleared Swap Customer Contracts and Collateral Conforming Amendments to the Commodity Broker Bankruptcy Provision

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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: The number of FCMs was estimated downward for the new rules because it is not expected that all 112 FCMs presently registered with the Commission will carry collateral for cleared swaps customers.

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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: 11/14/2012

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