[Federal Register Volume 65, Number 18 (Thursday, January 27, 2000)]
[Notices]
[Pages 4405-4406]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-1986]


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COMMODITY FUTURES TRADING COMMISSION

RIN 3038-ZA03


Agency Information Collection Activities: Proposed Collection; 
Comment Request; Extension of Collection, OMB Control Number 3038-0024, 
Regulations and Forms Pertaining to the Financial Integrity of the 
Marketplace

AGENCY:  Commodity Futures Trading Commission.

ACTION:  Notice.

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SUMMARY:  The Commodity Futures Trading Commission (CFTC) is announcing 
an opportunity for public comment on the proposed collection of certain 
information by the agency. Under the Paperwork Reduction Act of 1995 
(PRA), 44 U.S.C. 3501 et seq., Federal agencies are required to publish 
notice in the Federal Register concerning each proposed collection of 
information, including each proposed extension of an existing 
collection of information, and to allow 60 days for public comment in 
response to the notice. This notice solicits comments on requirements 
relating to financial and related reporting and recordkeeping 
requirements.

DATES:  Comments must be submitted on or before March 27, 2000.

ADDRESSES:  Comments may be mailed to Lawrence B. Patent, Division of 
Trading and Markets, U.S. Commodity Futures Trading Commission, 1155 
21st Street, NW, Washington, DC 20581.

FOR FURTHER INFORMATION CONTACT:  Lawrence B. Patent, (202) 418-5439; 
FAX: (202) 418-5536; email: [email protected].

SUPPLEMENTAL INFORMATION:  Under the PRA, Federal agencies must obtain 
approval from the Office of Management and Budget (OMB) for each 
collection of information they conduct or sponsor. ``Collection of 
information'' is defined in 44 U.S.C. 3502(3) and 5 CFR 1320.3(c) and 
includes agency requests or requirements that members of the public 
submit reports, keep records, or provide information to a third party. 
Section 3506(c)(2)(A) of the PRA, 44 U.S.C. 3506(c)(2)(A), requires 
Federal agencies to provide a 60-day notice in the Federal Register 
concerning each proposed collection of information, including each 
proposed extension of an existing collection of information, before 
submitting the collection to OMB for approval. To comply with this 
requirement, the CFTC is publishing notice of the proposed collection 
of information listed below.
    With respect to the following collection of information, the CFTC 
invites comments on:
     Whether the proposed collection of information is 
necessary for the proper performance of the functions of the 
Commission, including whether the information will have a practical 
use;
     The accuracy of the Commission's estimate of the burden of 
the proposed collection of information, including the validity of the 
methodology and assumptions used;
     Ways to enhance the quality, usefulness, and clarity of 
the information to be collected; and
     Ways to minimize the burden of collection of information 
on respondents, including through the use of appropriate automated 
electronic, mechanical, or other technological collection techniques or 
other forms of information technology; e.g., permitting electronic 
submission of responses.
    Regulations and Forms Pertaining to the Financial Integrity of the 
Marketplace Extension, OMB Control Number 3038-0024.
    Commission Rules 1.10(a) and (b), 1.12, 1.14, 1.15(a)(1) and (2), 
1.16(e) and (f), 1.17(h)(3)(vi), 1.18(b), 1.20(a) and (b), 1.23, 1.25, 
1.27, 1.43, 1.36(a) and (b), 1.37 and 1.65 relate to the financial 
reporting and recordkeeping

[[Page 4406]]

requirements for futures commission merchants and independent 
introducing brokers.
    The Commission estimates the burden of this collection of 
information as follows:

                                        Estimated Annual Reporting Burden
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                                 Annual number
        17 CFR Section                of          Frequency of     Total annual      Hours per     Total  hours
                                  respondents       response         responses       response
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17 CFR 1.10(a) and (b), 1.12,            3,028  Monthly,                   4,468             5.0          20,859
 1.14, 1.15(a)(1) and (2).                       Annually,
 1.16(e) and (f),                                Quarterly, Semi-
 1.17(h)(3)(vi), 1.18(b),                        Annually, On
 1.20(a) and (b),1.23, 1.25,                     Occasion.
 1.27, 1.43, 1.36(a) and (b),
 1.37 and 1.65.
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    There are not capital costs or operating and maintenance costs 
associated with this collection.

    Dated: January 21, 2000.
Jean A. Webb,
Secretary of the Commission.
[FR Doc. 00-1986 Filed 1-26-00; 8:45 am]
BILLING CODE 6351-01-M