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

ICR 201012-3038-008 · OMB 3038-0049 · Historical Active

⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3038-0049 can be found here:

Forms and Documents

Document	Type	Status	Availability
30-day FRN (12-2010).pdf	Supplementary Document	Uploaded 2010-12-09	Repair queued
60-day FRN (9-2010).pdf	Supplementary Document	Uploaded 2010-12-09	Available
0049 supporting statement (2).doc	Supporting Statement A	Uploaded 2010-12-09	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
29095	Procedural Requirements for Interpretative, No- Action and Exemptive Letters		Modified

ICR Details

OMB Control No: 3038-0049	ICR Reference No: 201012-3038-008
Status: Historical Active	Previous ICR Reference No: 200708-3038-001
Agency/Subagency: CFTC	Agency Tracking No:
Title: Procedural Requirements for Requests for Interpretative, No- Action and Exemptive Letters
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: 03/22/2011
Retrieve Notice of Action (NOA)	Date Received in OIRA: 12/30/2010
Terms of Clearance: Agency is advised to classify burden appropriately as a change due to agency estimate.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2014	36 Months From Approved	03/31/2011
Responses	150	0	479
Time Burden (Hours)	1,050	0	3,197
Cost Burden (Dollars)	0	0	0

Abstract: 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.

Authorizing Statute(s): US Code: 7 USC 12a(5) (2000) Name of Law: Commodity Exchange Act

Citations for New Statutory Requirements: None

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 60087	09/29/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 76705	12/09/2010
Did the Agency receive public comments on this ICR? Yes

Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Procedural Requirements for Interpretative, No- Action and Exemptive Letters

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	150	479	-329
Annual Time Burden (Hours)	1,050	3,197	-2,147
Annual Cost Burden (Dollars)	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: The decrease is as a result of fewer people submitting requests for no-action, interpretative, and exemptive letters.

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? Yes

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

Agency Contact: John Nowlin 202-418-5427

Common Form ICR: No