Regulation 16.02 - Daily Trade and Supporting Data Reports

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
(2019) 30-Day Federal Register Notice 3038-0061.pdf	Supplementary Document	Uploaded 2019-06-27	Available
60-Day Notice for 3038-0061.pdf	Supplementary Document	Uploaded 2019-06-27	Available
2019 Supporting Statement 3038.0061 - final.docx	Supporting Statement A	Uploaded 2019-06-27	Available
Form 205.pdf	Supplementary Document	Uploaded 2012-08-30	Available
Form 204.pdf	Supplementary Document	Uploaded 2012-08-30	Available
Form 102.pdf	Supplementary Document	Uploaded 2012-08-30	Available
Form 40.pdf	Supplementary Document	Uploaded 2012-08-30	Available
[12-2008] FRN for PR for New PRAC re ECM].pdf	Supplementary Document	Uploaded 2009-03-03	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
187520	Regulation 16.02		Modified

ICR Details

OMB Control No: 3038-0061	ICR Reference No: 201906-3038-011
Status: Active	Previous ICR Reference No: 201601-3038-006
Agency/Subagency: CFTC	Agency Tracking No:
Title: Regulation 16.02 - Daily Trade and Supporting Data Reports
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/04/2019
	Date Received in OIRA: 06/27/2019
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2022	36 Months From Approved	09/30/2019
Responses	3,750	0	7,500
Time Burden (Hours)	7,500	0	15,000
Cost Burden (Dollars)	0	0	0

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Abstract: The information is needed to ensure the Commission has access to transaction-level trade data and related order information for each transaction executed on a Reporting Market. The Commission analyzes the trade data and supporting data reports that are submitted pursuant to 17 CFR 16.02 to conduct financial, market, and trade practice surveillance. The Commission uses the collection of information to discharge its regulatory responsibilities, including the responsibilities to prevent market manipulations and commodity price distortions and ensure the financial integrity of its jurisdictional markets.

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Authorizing Statute(s): US Code: 7 USC 2, 6a, 6c, 6g, 6i Name of Law: Exempt Markets
   US Code: 7 USC 7, 7b-3 Name of Law: Exempt Markets
   US Code: 7 USC 2 Name of Law: Exempt Markets
  

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:
	84 FR 12232	04/01/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 30700	06/27/2019
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
Regulation 16.02

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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	3,750	7,500	0	-3,750	0	0
Annual Time Burden (Hours)	7,500	15,000	0	-7,500	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

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 estimated burden hours for this existing collection have decreased. The estimated reporting burden is dependent upon the number of respondents. It is estimated that up to 15 Reporting Markets will be required to respond to this collection, a decrease from the previous estimate of the number of Reporting Markets that will be required to respond.

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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]? No

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: 06/27/2019

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