[Federal Register: June 3, 2004 (Volume 69, Number 107)]
[Page 31361]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]



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 July 6, 2004.

FOR FURTHER INFORMATION CONTACT: Christopher W. Cummings, Division of
Clearing and Intermediary Oversight, CFTC, (202) 418-5445; FAX: (202)
418-5426; e-mail: [email protected] and refer to OMB Control No. 3038-

    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 Rule 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.
The proposed rule 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) (1994).
    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 April 6, 2004 (69 FR 18058-01).
    Burden statement: The respondent burden for this collection is
estimated to average 6.6 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: Securities Brokers and Dealers.
    Estimated number of respondents: 410.
    Estimated total annual burden on respondents: 3,197 hours.
    Frequency of collection: On occasion, quarterly, monthly, annually.
    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: May 27, 2004.
Jean A. Webb,
Secretary of the Commission.
[FR Doc. 04-12531 Filed 6-2-04; 8:45 am]