Futures Volume, Open Interest, Price, Deliveries, and Exchanges of Futures

Forms and Documents

Document Name	Status
3038-0012 - Proposed Rule (12-12-08).pdf Supplementary Document	2009-02-17
[12-2008]-Proposed Rule-16.01- 0012 10 21 2008.doc Supporting Statement A	2008-12-12

IC Document Collections

IC ID	Document Title	Status
29021	Futures Volume, Open Interest, Price, Deliveries, and Exchanges of Futures	Modified

ICR Details

OMB Control No: 3038-0012	ICR Reference No: 200910-3038-002
Status: Historical Active	Previous ICR Reference No: 200601-3038-004
Agency/Subagency: CFTC	Agency Tracking No:
Title: Futures Volume, Open Interest, Price, Deliveries, and Exchanges of Futures
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: 10/28/2009
	Date Received in OIRA: 10/28/2009
Terms of Clearance: Pre-approval contingent upon no substantive changes to this collection after adoption of the final rule. Otherwise this collection should be re-submitted to OMB for review.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/29/2012	36 Months From Approved	10/31/2009
Responses	3,750	0	3,520
Time Burden (Hours)	1,875	0	1,760
Cost Burden (Dollars)	95,625	0	0

---

Abstract: This data collection is used in conjunction with large trader data for surveillance of trading on domestic exchanges.

---

Authorizing Statute(s): US Code: 7 USC 2 Name of Law: Exempt Markets
   US Code: 7 USC 6g Name of Law: Exempt Markets
   US Code: 7 USC 7 Name of Law: Exempt Markets
  

Citations for New Statutory Requirements: US Code: 7 USC 2 Name of Law: Exempt Markets
US Code: 7 USC 6g Name of Law: Exempt Markets
US Code: 7 USC 7 Name of Law: Exempt Markets

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3038-AC48	Final or interim final rulemaking	74 FR 12178	03/23/2009

---

Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

---

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

IC Title	Form No.	Form Name
Futures Volume, Open Interest, Price, Deliveries, and Exchanges of Futures

---

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	3,750	3,520	0	230	0	0
Annual Time Burden (Hours)	1,875	1,760	0	115	0	0
Annual Cost Burden (Dollars)	95,625	0	0	95,625	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: The program changes are a result of Expanding Regulatory Authority, which provides that the number of trading days increased from 220 to 250. This means that the reporting markets need about 30 minutes per day to generate, transmit the file to the Commission, and make public each file. The foregoing action resulted in an increase in burden hours of approximately 1,875 as well as cost. Previous costs of $35,200 were estimated using a professional wage category of $20/hr. for persons generating the machine readable files. Similarly, the estimated increase to $95,625 is computed using a blended professional wage rate made up of both compliance and information technology staff of $51 hourly. [See the Supporting Statement included in this ICR for more detailed information.]

---

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]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

---

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: 12/19/2008

---