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Federal forms, ICRs, and supporting documents

Information Collection Request

Procedural Requirements for Requests for Interpretative, No- Action and Exemptive Letters

ICR 200406-3038-001 · OMB 3038-0049 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
IC IDCollectionTypeStatusForm
29095 Procedural Requirements for Requests for Interpretative, No- Action and Exemptive Letters Migrated
ICR Details
3038-0049 200406-3038-001
Historical Active 200104-3038-001
CFTC
Procedural Requirements for Requests for Interpretative, No- Action and Exemptive Letters
Extension without change of a currently approved collection   No
Regular
Approved without change 08/26/2004
Retrieve Notice of Action (NOA) 06/03/2004
OMB notes that the agency should not publish its 30-day notice and submit an ICR to OMB until after the 60-day comment period has expired. The 30-day notice for this ICR was published 4 days prior to the conclusion of the 60-day comment period, having the effect of denying the public the opportunity to provide the agency feedback on its ICR prior to submission to OMB.
  Inventory as of this Action Requested Previously Approved
08/31/2007 08/31/2007 08/31/2004
479 0 2,280
3,197 0 2,957
0 0 0
The rules establish procedures for requesting and issuing orders exempting securities brokers and dealers who trade security futures products pursuant to notice-registration as FCMs or IBs, or pursuant to exemption from the floor broker or floor registration requirements. The rules respond to the requirement in the Commodity Futures Modernization Act of 2000 that the Commission establish such procedures.
None
None
No
1
IC Title Form No. Form Name
Procedural Requirements for Requests for Interpretative, No- Action and Exemptive Letters
  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 479 2,280 0 0 -1,801 0
Annual Time Burden (Hours) 3,197 2,957 0 0 240 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
  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.
06/03/2004