Market Surveys

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
30-Day FRN 3038-0017 (87 FR 57681).pdf	Supplementary Document	Uploaded 2022-09-21	Repair queued
2022 Supporting Statement 3038-0017.docx	Supporting Statement A	Uploaded 2022-09-13	Repair queued
60-Day FRN 3038-0017 (87 FR 41293).pdf	Supplementary Document	Uploaded 2022-07-26	Missing upstream

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
29034	Market Surveys		Modified

ICR Details

OMB Control No: 3038-0017	ICR Reference No: 202207-3038-009
Status: Received in OIRA	Previous ICR Reference No: 201909-3038-002
Agency/Subagency: CFTC	Agency Tracking No:
Title: Market Surveys
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 09/21/2022

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	11/30/2022
Responses	100	100
Time Burden (Hours)	175	175
Cost Burden (Dollars)	0	0

---

Abstract: The CFTC requests approval for the extension of the information collections associated with Commission Rule 21.02 (17 CFR 21.02), relating to Market Surveys. 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.

---

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

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 41293	07/12/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 57681	09/21/2022
Did the Agency receive public comments on this ICR? No

---

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

table that charts list of burden

IC Title	Form No.	Form Name
Market Surveys

---

ICR Summary of Burden

table that charts list of burden

	Total Request	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	100	0	0	0	0
Annual Time Burden (Hours)	175	175	0	0	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: No

Burden Reduction Due to:

Short Statement:

---

Annual Cost to Federal Government: $8,400

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? No

---

Common Form ICR:  No

---

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: 09/21/2022

---