Font Size: AAA // Print // Bookmark


  • [Federal Register: July 30, 2007 (Volume 72, Number 145)]


    [Page 41498]

    From the Federal Register Online via GPO Access []





    Agency Information Collection Activities Under OMB Review

    AGENCY: Commodity Futures Trading Commission.

    ACTION: Notice.


    SUMMARY: In compliance with the Paperwork Reduction Act (44 U.S.C. 3501

    et seq., this notice announces that the Information Collection Request

    (ICR) abstracted below has been forwarded to the Office of Management

    and Budget (OMB) for review and comment. The ICR describes the nature

    of the information collection and its expected costs and burden.

    DATES: Comments must be submitted on or before August 29, 2007.

    FOR FURTHER INFORMATION: Christopher W. Cummings, Division of Clearing

    and Intermediary Oversight, CFTC, (202) 418-5445; FAX: (202) 418-5426;

    e-mail: and refer to OMB Control No. 3038-0049.


    Title: Procedural Requirements for Requests for Interpretative, No-

    Action, and Exemptive Letters (OMB Control No. 3038-0049). This is a

    request for extension of a currently approved information collection.

    Abstract: Commission Regulation 140.99 requires persons submitting

    requests for exemptive, no-action, and interpretative letters to

    provide specific written information, certified as to completeness and

    accuracy, and to update that information to reflect material changes.

    Regulation 140.99 was promulgated pursuant to the Commission's

    rulemaking authority contained in section 8a(5) of the Commodity

    Exchange Act, 7 U.S.C. 12a(5) (2000). Regulation 41.3 requires

    securities brokers and dealers submitting requests for exemptive orders

    to provide specified written information in support of such requests.

    Regulation 41.3 was promulgated in response to the requirement in the

    Commodity Futures Modernization Act of 2000 that the Commission

    establish procedures for requesting such orders.

    An agency may not conduct or sponsor, and a person is not required

    to respond to, a collection of information unless it displays a

    currently valid OMB control number. The OMB control numbers for the

    CFTC's regulations were published on December 30, 1981. See 46 FR 63035

    (Dec. 30, 1981). The Federal Register notice with a 60-day comment

    period soliciting comments on this collection of information was

    published on May 23, 2007 (72 FR 28959).

    Burden statement: The respondent burden for this collection is

    estimated to average 6 hours per response. These estimates include the

    time needed to review instructions; develop, acquire, install, and

    utilize technology and systems for the purposes of collecting,

    validating, and verifying information, processing and maintaining

    information and disclosing and providing information; adjust the

    existing ways to comply with any previously applicable instructions and

    requirements; train personnel to be able to respond to a collection of

    information; and transmit or otherwise disclose the information.

    Respondents/Affected Entities: Futures Commission Merchants,

    Introducing Brokers, Commodity Pool Operators, Commodity Trading

    Advisors, Associated Persons, Floor Brokers, Floor Traders, Securities

    Brokers and Dealers.

    Estimated number of respondents: 410.

    Estimated total annual burden on respondents: 3,197 hours.

    Frequency of collection: On occasion.

    Send comments regarding the burden estimated or any other aspect of

    the information collection, including suggestions for reducing the

    burden, to the addresses listed below. Please refer to OMB Control No.

    3038-0049 in any correspondence.

    Christopher W. Cummings, Division of Clearing and Intermediary

    Oversight, U.S. Commodity Futures Trading Commission, 1155 21st Street,

    NW., Washington, DC 20581; and Office of Information and Regulatory

    Affairs, Office of Management and Budget, Attention: Desk Officer for

    CFTC, 725 17th Street, Washington, DC 20503.

    Dated: July 24, 2007.

    Eileen Donovan,

    Acting Secretary of the Commission.

    [FR Doc. 07-3696 Filed 7-27-07; 8:45 am]

    BILLING CODE 6351-01-M

    Last Updated: July 31, 2007