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  • FR Doc E9-4860[Federal Register: March 9, 2009 (Volume 74, Number 44)]


    [Page 10037]

    From the Federal Register Online via GPO Access []




    Agency Information Collection Activities Under OMB Review

    AGENCY: Commodity Futures Trading Commission.

    ACTION: Notice of intent to renew an existing collection.


    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 April 8, 2009.

    For Further Information or a Copy Contact: Mark H. Bretscher, Division

    of Clearing and Intermediary Oversight, CFTC, (312) 596-0529; Fax:

    (312) 596-0714; e-mail: and refer to OMB Control

    No. 3038-0024.


    Title: Regulations and Forms Pertaining to the Financial Integrity

    of the Marketplace (OMB Control No. 3038-0024). This is a request for

    extension of a currently approved information collection.

    Abstract: The commodity futures markets play a vital role in the

    furthering of global commerce by providing commercial users and

    speculators with a price discovery mechanism for the commodities traded

    on such markets and by providing commercial users of the markets with a

    mechanism for hedging their goods and services against price risks. The

    Commodity Futures Trading Commission is the independent Federal

    regulatory agency charged with providing various forms of customer

    protection so that users of the markets can be assured of the financial

    integrity of the markets and the intermediaries that they employ in

    their trading activities. Among the financial safeguards the Commission

    has imposed on commodity brokerages, technically futures commission

    merchants (FCMs) and introducing brokers (IBs), are minimum capital

    standards and, for FCMs, a requirement that they segregate and

    separately account for the funds they receive from their commodity

    customers. In order to monitor compliance with such financial

    standards, the Commission has required FCMs and IBs to file financial

    reports with the Commission and with the self-regulatory organizations

    SROs) of which they are members. (See Commission Rule 1.10, 17 CFR


    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 the 60-day comment

    period soliciting comments on this collection was published on December

    29, 2008 (73 FR 79452).

    Burden Statement: The respondent burden for this collection is

    estimated to average .50 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.

    Estimated Number of Respondents: 2,078.

    Estimated Total Annual Burden or Respondents: 21,138.50 hours.

    Frequency of Collection: On occasion, monthly, annually, semi-


    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.

    3038-0024 in any correspondence.

    Mark H. Bretscher, Division of Clearing and Intermediary Oversight,

    U.S. Commodity Futures Trading Commission, 525 W. Monroe Street, Suite

    1100, Chicago, Illinois 60661 and Office of Information and Regulatory

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

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

    Dated: March 3, 2009.

    David Stawick,

    Secretary of the Commission.

    [FR Doc. E9-4860 Filed 3-6-09; 8:45 am]

    BILLING CODE 6351-01-P

    Last Updated: March 9, 2009