Rules, regulations and forms for domestic and foreign futures and options relating to registration with the Commission

Forms and Documents

Document Name	Status
Cover Letter 2011.docx Justification for No Material/Nonsubstantive Change	2011-08-04
Annual Questionnaire 2011.docx Supplementary Document	2011-07-07
NEW Collection 30 day AM.pdf Supplementary Document	2010-04-22
NEW collection 60 day.pdf Supplementary Document	2010-03-10
Supporting Statement 3038-NEW AM.pdf Supporting Statement A	2010-04-22

IC Document Collections

IC ID	Document Title	Status
192019	Rules regulations and forms for domestic and foreign futures and options relating to registration with the Commission Other-Questionnaire	Modified

ICR Details

OMB Control No: 3038-0064	ICR Reference No: 201107-3038-002
Status: Historical Active	Previous ICR Reference No: 201002-3038-003
Agency/Subagency: CFTC	Agency Tracking No:
Title: Rules, regulations and forms for domestic and foreign futures and options relating to registration with the Commission
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/19/2011
	Date Received in OIRA: 08/04/2011
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2013	07/31/2013	07/31/2013
Responses	169	0	169
Time Burden (Hours)	169	0	28,561
Cost Burden (Dollars)	0	0	0

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Abstract: The Division of Clearing intermediary Oversight at the CFTC seeks to send out a questionnaire on an annual basis to all recipients of regulation 30 exemptive relief in order to evaluate whether the criteria applies in the initial analysis for the granting of exemption is still appropriate.

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Authorizing Statute(s): US Code: 7 USC 1a., 2, 4, 6,6c and 12a Name of Law: Foreign Futures and Foreign Options Transactions
  

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	75 FR 6637	02/10/2010

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 6637	02/10/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 20568	04/20/2010
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
Rules regulations and forms for domestic and foreign futures and options relating to registration with the Commission

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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	169	169	0	0	0	0
Annual Time Burden (Hours)	169	28,561	0	-28,392	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: Burden change is as a result of the initial numbers being inadvertently recorded.

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Annual Cost to Federal Government:

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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