Market Surveys

Forms and Documents

Document Name	Status
(2019) 30-day FRN- 3038-0017.pdf Supplementary Document	2019-09-27
(2019) Supporting Statement 3038-0017 - final 09-27-19.docx Supporting Statement A	2019-09-27
(2019) 60-day FRN 3038-0017.pdf Supplementary Document	2019-09-25

IC Document Collections

IC ID	Document Title	Status
29034	Market Surveys	Modified

ICR Details

OMB Control No: 3038-0017	ICR Reference No: 201909-3038-002
Status: Active	Previous ICR Reference No: 201606-3038-001
Agency/Subagency: CFTC	Agency Tracking No:
Title: Market Surveys
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 11/19/2019
	Date Received in OIRA: 09/27/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2022	36 Months From Approved	11/30/2019
Responses	100	0	400
Time Burden (Hours)	175	0	700
Cost Burden (Dollars)	0	0	0

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Abstract: Under Commission Rule 21.02, upon call by the Commission, information related to futures or options positions held or introduced by futures commission merchants, members of contract markets, introducing brokers, and foreign brokers and, for options positions, must be furnished by each reporting market. This rule is designed to assist the Commission in prevention of market manipulation and is promulgated pursuant to the Commission’s rulemaking authority contained in section 8a of the Commodity Exchange Act, 7 U.S.C. 12 a (2010). The information is used primarily by Surveillance and Market Analysts in order to fulfill their market surveillance function. Additionally, the data is used to provide a basis for reports to Congress as well as supporting various research projects and reports from Commission economists and analysts.

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Authorizing Statute(s): US Code: 7 USC Section 7 Name of Law: Section 8(a) of the CEA
  

Citations for New Statutory Requirements: US Code: 7 USC 8(a)(1) Name of Law: Commodity Exchange Act
US Code: 7 USC 8(a)(2) Name of Law: Commodity Exchange Act

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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 35376	07/23/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 51148	09/27/2019
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Market Surveys

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ICR Summary 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	400	0	-300	0	0
Annual Time Burden (Hours)	175	700	0	-525	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: A reduction in the total annual number of responses from 400 in 2016 to 100 in 2019 has accordingly caused the estimated annual burden hours to lessen from 700 hours in the previous renewal to 175 hours currently. This reduction in annual responses can be attributed to improved methods and a considered approach surrounding the special call process, where the CFTC prudently exercises this option based on particular, carefully-weighed circumstances to avoid placing undue burdens on market participants.

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Annual Cost to Federal Government: $5,500

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.     Yes

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.     Yes

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: 09/27/2019

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