Annual Report for Chief Compliance Officer of Registrants

ICR 201601-3038-001

OMB: 3038-0080

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2016-01-14
IC Document Collections
IC ID
Document
Title
Status
195308
Modified
ICR Details
3038-0080 201601-3038-001
Historical Active 201202-3038-010
CFTC
Annual Report for Chief Compliance Officer of Registrants
Revision of a currently approved collection   No
Regular
Approved without change 08/19/2016
Retrieve Notice of Action (NOA) 01/21/2016
  Inventory as of this Action Requested Previously Approved
08/31/2019 36 Months From Approved 08/31/2016
178 0 1,420
179,068 0 285,704
0 0 28,570,400

In accordance with the Commodity Exchange Act (CEA), as amended by the Dodd-Frank Act, the proposed regulation require swap dealers, major swap participants and futures commission merchants to designate a chief compliance officer establish specified compliance procedures;prepare and file and as needed,amend an annual compliance report; and maintain certain records related thereto.

PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd-Frank Act
  
PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd - Frank Act

Not associated with rulemaking

  80 FR 69942 11/12/2015
81 FR 3391 01/21/2016
No

1
IC Title Form No. Form Name
Annual Report for Chief Compliance Officer of Registrants

  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 178 1,420 0 -1,242 0 0
Annual Time Burden (Hours) 179,068 285,704 0 -106,636 0 0
Annual Cost Burden (Dollars) 0 28,570,400 0 -28,570,400 0 0
No
Yes
Miscellaneous Actions
In light of the current number of Commission-registered FCMs, SDs, and MSPs, the total number of respondents (combined FCMs, SDs, and MSPs) is being reduced from 284 to 178.

$113,409
No
No
No
Yes
No
Uncollected
Gail Scott 202 418-5139 gscott@cftc.gov

  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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
01/21/2016


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