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

ICR 201401-3038-002 · 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⚠️ Notice: This information collection may be outdated.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
0049 30-day FRN 79 FR 12689 (3-2014).pdf	Supplementary Document	Uploaded 2014-03-06	Available
0049 60 Day FRN 78 FR 79408 (12-2013).pdf	Supplementary Document	Uploaded 2014-02-25	Repair queued
0049 supporting statement Feb 2014.doc	Supporting Statement A	Uploaded 2014-02-25	Repair queued

IC Document Collections

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

ICR Details

OMB Control No: 3038-0049	ICR Reference No: 201401-3038-002
Status: Historical Active	Previous ICR Reference No: 201012-3038-008
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 without change	Conclusion Date: 07/03/2014
Retrieve Notice of Action (NOA)	Date Received in OIRA: 03/06/2014
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2017	36 Months From Approved	07/31/2014
Responses	31,194	0	150
Time Burden (Hours)	28,478	0	1,050
Cost Burden (Dollars)	0	0	0

Abstract: In order to process requests for interpretative, no-action and exemptive letters the Commission requires accurate and complete background information concerning the persons and acitivities involved, the relief requested, and the legal or other authorities for and against the request. Specific procedures save time and resources for requesters and Commission staff.

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

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

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:
	78 FR 79408	12/30/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 12689	03/06/2014
Did the Agency receive public comments on this ICR? No

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

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

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute
Annual Number of Responses	31,194	150	31,044
Annual Time Burden (Hours)	28,478	1,050	27,428
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: No

Burden Reduction Due to:

Short Statement:

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? 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

Agency Contact: Edwin Yoshimura 312 596-0562 [email protected]

Common Form ICR: No