Process for a Swap Execution Facility or Designated Contract Market to Make a Swap Available to Trade

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
OMBSupportingStatementdraft MAT FINAL Rule nhn 06 26 13.docx	Supporting Statement A	Uploaded 2013-07-01	Available
Federal Notice.pdf	Supplementary Document	Uploaded 2012-08-07	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
207628	Process for a Swap Execution Facility of Designated Contract Market to Make a Swap Available to Trade		New
203645	Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade		Unchanged

ICR Details

OMB Control No: 3038-0099	ICR Reference No: 201307-3038-001
Status: Historical Active	Previous ICR Reference No: 201208-3038-001
Agency/Subagency: CFTC	Agency Tracking No:
Title: Process for a Swap Execution Facility or Designated Contract Market to Make a Swap Available to Trade
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 with change	Conclusion Date: 09/30/2013
	Date Received in OIRA: 07/02/2013
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2016	36 Months From Approved
Responses	100	0	0
Time Burden (Hours)	2,800	0	0
Cost Burden (Dollars)	86,500	0	0

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Abstract: The final regulations establish a process for a designated contract market or swap execution facility to make a swap

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Authorizing Statute(s): PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd-Frank
   US Code: 7 USC 1a(40) Name of Law: Registered Entities-DCMs and SEFs
  

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

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3038-AD18	Final or interim final rulemaking	78 FR 36606	06/04/2013

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 77728	12/14/2011
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 36606	06/04/2013
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 2

table that charts list of burden

IC Title	Form No.	Form Name
Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade
Process for a Swap Execution Facility of Designated Contract Market to Make a Swap Available to Trade

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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	100	0	50	50	0	0
Annual Time Burden (Hours)	2,800	0	2,000	800	0	0
Annual Cost Burden (Dollars)	86,500	0	86,500	0	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: Based on the comment received in the proposed rule regarding the information collection, the total hourly burden of the information collection is revised in the final rule to be 16 hours per submission, from 8 hours per submission.

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Annual Cost to Federal Government: $2,022

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: 07/02/2013

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