Core Principles and Other Requirements for Swap Execution Facilities

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form Appendix A Core Principles and Other Requirements for Swap Execution Facilities	Form and Instruction	Unchanged	Available
3038 0074 Updated Answers to 8 12 SEF Final rule.docx	Supporting Statement B	Uploaded 2013-09-03	Available
SEFsupportingstatement 08 26 13 Edits GBS 10 22 13.doc	Supporting Statement A	Uploaded 2013-10-22	Available
Proposed Rule-60-day FRN.pdf	Supplementary Document	Uploaded 2011-01-20	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
207217	Core Principles and Other Requirements for Swap Execution Facilities	Form and Instruction	Unchanged
195702	Core Principles and Other Requirements for Swap Execution Facilities		Unchanged

ICR Details

OMB Control No: 3038-0074	ICR Reference No: 201309-3038-001
Status: Historical Active	Previous ICR Reference No: 201306-3038-006
Agency/Subagency: CFTC	Agency Tracking No:
Title: Core Principles and Other Requirements for Swap Execution Facilities
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: 11/04/2013
	Date Received in OIRA: 09/03/2013
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2016	36 Months From Approved
Responses	210	0	0
Time Burden (Hours)	21,560	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: The proposed rules, guidance and acceptable practices implement the new statutory framework that, among other things, amends Section 5 of the Commodity Exchange Act (CEA) concerning designation and operating contract markets and adds a new CEA Section 2(h)(8) to include the listing, trading, and execution of swaps on designated contract markets.

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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-AD18	Final or interim final rulemaking	78 FR 33476	06/04/2013

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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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
Core Principles and Other Requirements for Swap Execution Facilities
Core Principles and Other Requirements for Swap Execution Facilities	Appendix A	Appendix A to Part 37 - Form SEF

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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	210	0	175	35	0	0
Annual Time Burden (Hours)	21,560	0	10,780	10,780	0	0
Annual Cost Burden (Dollars)	0	0	0	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: There is no burden increase. There are 35 respondents and each responds 5 times for a total of 175 annual responses.

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Annual Cost to Federal Government: $96,000

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: 09/03/2013

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