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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 200708-3038-001 · OMB 3038-0049 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
PAPERWRK 2007.DOC Supporting Statement B Uploaded 2007-08-01 Available
PAPERWK (Justification-SS) 2007 (0049).DOC Supporting Statement A Uploaded 2007-12-11 Available
IC Document Collections
IC IDCollectionTypeStatusForm
29095 Procedural Requirements for Interpretative, No- Action and Exemptive Letters Modified
ICR Details
3038-0049 200708-3038-001
Historical Active 200406-3038-001
CFTC
Procedural Requirements for Requests for Interpretative, No- Action and Exemptive Letters
Revision of a currently approved collection   No
Regular
Approved without change 12/12/2007
Retrieve Notice of Action (NOA) 08/30/2007
  Inventory as of this Action Requested Previously Approved
12/31/2010 36 Months From Approved 12/31/2007
479 0 479
3,197 0 3,197
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.
US Code: 7 USC 12a(5) (2000) Name of Law: Commodity Exchange Act
  
None
Not associated with rulemaking
  72 FR 28959 05/23/2007
72 FR 41498 07/30/2007
Yes
1
IC Title Form No. Form Name
Procedural Requirements 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 479 479 0 0 0 0
Annual Time Burden (Hours) 3,197 3,197 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
$0
No
Yes
Uncollected
Uncollected
Uncollected
Uncollected
John Nowlin 202-418-5427
  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.
08/30/2007