OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

Core Principles and Other Requirements for Swap Execution Facilities

ICR 201811-3038-005 · OMB 3038-0074 · Historical Inactive

Forms and Documents
DocumentTypeStatusAvailability
Core Principles and Other Requirements for Swap Execution Facilities Form Modified Repair queued
Part 37 PRA - Supporting Statement 3038-0074 (11-29-2018) Final.docx Supporting Statement A Uploaded 2018-11-29 Available
IC Document Collections
IC IDCollectionTypeStatusForm
195702 Core Principles and Other Requirements for Swap Execution Facilities Form Modified
ICR Details
3038-0074 201811-3038-005
Historical Inactive 201804-3038-001
CFTC
Core Principles and Other Requirements for Swap Execution Facilities
Revision of a currently approved collection   No
Regular
Preapproved 01/30/2019
Retrieve Notice of Action (NOA) 11/30/2018
  Inventory as of this Action Requested Previously Approved
01/31/2020 36 Months From Approved 05/31/2021
13,660 0 880,554
19,525 0 26,200
0 0 0
The Commission published a notice of proposed rulemaking related to parts 9, 36, 37, 38, 39, and 43 of the Commission’s regulations (“Part 37 NPRM”) in which the Commission is proposing amendments to regulations relating to the trade execution requirement for swaps under the Commodity Exchange Act (“CEA”) and amendments to existing regulations relating to swap execution facilities (“SEFs”) and designated contract markets (“DCMs”). The Commission believes that the changes – and related information collections – reflect the Commission’s enhanced knowledge and experience with swaps trading characteristics, and the Commission believes these changes are needed to further the Dodd-Frank Act’s twin statutory goals for SEFs to promote the trading of swaps on SEFs and to promote pre-trade price transparency in the swaps market. The information will be used and has been used by the Commission to determine whether SEFs, and applicants seeking registration as a SEF with the Commission, are in compliance with applicable CEA statutory core principles and all other part 9, part 36, and part 37 Commission regulatory requirements.
PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd-Frank Act
   US Code: 7 USC 7b-3 Name of Law: Commodity Exchange Act
  
PL: Pub.L. 111 - 203 124 Stat 1376 (2010) Name of Law: Dodd-Frank Act
3038-AE25 Proposed rulemaking 83 FR 61946 11/30/2018
No
1
IC Title Form No. Form Name
Core Principles and Other Requirements for Swap Execution Facilities N/A Form SEF
  Total Request 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 13,660 880,554 0 -866,894 0 0
Annual Time Burden (Hours) 19,525 26,200 0 -6,675 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
Yes
Changing Regulations
The information will be used and has been used by the Commission to determine whether SEFs, and applicants seeking registration as a SEF with the Commission, are in compliance with applicable CEA statutory core principles and all other part 9, part 36, and part 37 Commission regulatory requirements.
$237,056
No
    No
    No
No
Yes
No
Uncollected
Gail Scott 202 418-5139 [email protected]
  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.
11/30/2018