Registration under the Commodity Exchange Act

Forms and Documents

Document Name	Status
Form 7R Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations Form and Instruction	Unchanged
04 Regulation AT AMENDMENT TO COLLECTION 3038-0023 COLLECTION PRA Supporting Statement_Supplemental NPRM.docx Supporting Statement B	2016-11-21
NFA Form 8-R.pdf Supplementary Document	2016-10-25
Form7-R.docx Supplementary Document	2016-10-25
Combined CPO-CTA and Fingerprinting Supporting Statement 4-1-16.doc Supporting Statement A	2016-04-01
Federal Register Vol. 79, No. 241 Tuesday, December 16, 2014.pdf Supplementary Document	2015-02-12

IC Document Collections

IC ID	Document Title	Status
224142	Regulation AT Supplemental	New
220868	Alternative to Fingerprinting Requirement For Foreign Natural Persons	Unchanged
201477	Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations Form and Instruction	Unchanged

ICR Details

OMB Control No: 3038-0023	ICR Reference No: 201610-3038-005
Status: Historical Inactive	Previous ICR Reference No: 201604-3038-003
Agency/Subagency: CFTC	Agency Tracking No:
Title: Registration under the Commodity Exchange Act
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: 03/02/2017
	Date Received in OIRA: 11/25/2016
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR. The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2019	36 Months From Approved	06/30/2019
Responses	78,307	0	78,307
Time Burden (Hours)	7,525	0	7,525
Cost Burden (Dollars)	49,500	0	49,500

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Abstract: Regulation Automated Trading is NOT being submitted today; Regulated Automated Trading SUPPLEMENTAL is being submitted. In Regulation Automated Trading, Commission seeks to update Commission rules in response to the evolution from pit trading to electronic trading. The risk controls and other rules proposed in the NPRM and the Supplemental NPRM are focused on algorithmic order origination or routing by market participants, and electronic order execution by DCMs. In addition to mitigating risks arising from algorithmic trading activity, the proposed rules are intended to increase transparency around DCM electronic trade matching platforms and the use of self-trade prevention tools on DCMs. Furthermore, the proposed rules are intended to foster transparency with respect to DCM programs and activities, including market maker and trading incentive programs, that have become more prominent as automated trading becomes the dominant market model. The proposal being submitted is a Supplement to the Automated Trading proposal, which is not yet final. Proposed § 1.3(x)(1)(iii) would require certain floor traders that have Direct Electronic Access,engage in Algorithmic Trading, and satisfy a volume threshold test, to prepare and submit forms to register with the Commission. The collection of information is necessary to determine fitness for registration under the Act and to prevent and mitigate risks arising from algorithmic trading activity. The obligations created by the proposed rules are essential to avoid prevent disruptions to market integrity, avoid systemic risk and promote responsible innovation and fair competition among boards of trade, other markets and market participants.

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Authorizing Statute(s): PL: Pub.L. 110 - 246 122 Stat., 1651, 2189-2204 Name of Law: Food Conservation and Energy Act
   US Code: 7 USC 6e, 6f, 6k, 6m, 6n Name of Law: CEA
   US Code: 7 USC 12a Name of Law: CEA
   US Code: 7 USC 13c Name of Law: CEA
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3038-AD52	Proposed rulemaking	81 FR 85334	11/25/2016

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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: 3

IC Title	Form No.	Form Name
Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations	8R, 7R	Firm Application ,   Floor Trader Order Enterer Application
Alternative to Fingerprinting Requirement For Foreign Natural Persons
Regulation AT Supplemental

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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: No

Burden Reduction Due to:

Short Statement: Burden hours will increase due to an increase in the number of persons expected to apply for and maintain registration. Proposed § 1.3(x)(1)(iii) will create an additional category of registrants.

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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: 11/25/2016

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