Relief From Compliance With Certain Disclosure Reporting and Recordkeeping Requirements for Registered CPOs for Commodity Pools Listed for Trading on a National Securities Exchange CPO Registration E

Forms and Documents

Document Name	Status
Supporting Statement revised-9-28-11.docx Supporting Statement A	2011-10-03

IC Document Collections

IC ID	Document Title	Status
29006	Relief for Compliance with Certain Disclosure Reporting and Recordkeeping Requirements for Registered CPOs and Commodity Pools Listed for Trading on a National Securities Exchange CPO Registration Exe	Modified

ICR Details

OMB Control No: 3038-0005	ICR Reference No: 201105-3038-003
Status: Historical Active	Previous ICR Reference No: 200911-3038-001
Agency/Subagency: CFTC	Agency Tracking No:
Title: Relief From Compliance With Certain Disclosure Reporting and Recordkeeping Requirements for Registered CPOs for Commodity Pools Listed for Trading on a National Securities Exchange CPO Registration E
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: 10/05/2011
	Date Received in OIRA: 08/04/2011
Terms of Clearance: CFTC revised supporting statement to reflect public comments received.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2014	36 Months From Approved	05/31/2012
Responses	9,516	0	29,567
Time Burden (Hours)	370,530	0	178,378
Cost Burden (Dollars)	0	0	0

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Abstract: A process is being established for registered CPOs to obtain exemptive belief in connection with operating vommodity pools whose units of participation are listed for trading on national securities exchange ("Commodity ETFs"). To obtain relief CPOs will be required to make certain filings. Each Commodity ETF will be a new pool subject to the reporting and recordkeeping burdens covered by this collection.

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Authorizing Statute(s): US Code: 7 USC 1a Name of Law: CPOs and CTAs
   US Code: 7 USC 2 Name of Law: CPOs and CTAs
   US Code: 7 USC 4 Name of Law: CPOs and CTAs
   US Code: 7 USC 6b, 6c, 6l, 6m, 6n, 60 Name of Law: CPOs and CTAs
   US Code: 7 USC 12 Name of Law: CPOs and CTAs
   US Code: 7 USC 23 Name of Law: CPOs and CTAs
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3038-AC46	Final or interim final rulemaking	76 FR 28641	05/18/2011

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 54794	09/09/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 28641	05/11/2011
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
Relief for Compliance with Certain Disclosure Reporting and Recordkeeping Requirements for Registered CPOs and Commodity Pools Listed for Trading on a National Securities Exchange CPO Registration Exe

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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	9,516	29,567	0	-20,051	0	0
Annual Time Burden (Hours)	370,530	178,378	0	192,152	0	0
Annual Cost Burden (Dollars)	0	0	0	0	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 disclosure, filing and recordkeeping requirements within Part 4 of the Commission's regulations were established to assist customers and to facilitate the Commission and NFA in monitoring compliance with the Part 4 regulations. These records also provide the Commission with its source of independent aggregated financial information concerning the commodity pool industry, which informs the Commission's policy decision making. The notice filing by which a CPO would claim the relief provided by the proposed amendments will enable the Commission and NFA to ensure that persons who are not eligible to claim the proposed relief are complying with the normal requirements of Regulations 4.21, 4.22 and 4.23.

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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]? 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: 08/04/2011

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