81 FR 37188 - Agency Information Collection Activities: Notice Requesting Approval of New Collection, CFTC SmartCheck Annual Campaign Impact Tracking Survey, 3038-NEW
COMMODITY FUTURES TRADING COMMISSION Federal Register Volume 81, Issue 111 (June 9, 2016)
Federal Register Volume 81, Issue 111 (June 9, 2016)
| Page Range | 37188-37191 | |
| FR Document | 2016-13623 |
[Federal Register Volume 81, Number 111 (Thursday, June 9, 2016)] [Notices] [Pages 37188-37191] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-13623] ----------------------------------------------------------------------- COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Notice Requesting Approval of New Collection, CFTC SmartCheck Annual Campaign Impact Tracking Survey, 3038--NEW AGENCY: Commodity Futures Trading Commission. ACTION: Notice. ----------------------------------------------------------------------- SUMMARY: The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is announcing an opportunity for public comment on a proposed collection of information by the agency. Under the Paperwork Reduction Act (``PRA''), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information and to allow 60 days for public comment. The CFTC's Office of Customer Education and Outreach (OCEO) develops campaigns to change customer behaviors, so that customers can better avoid fraud as defined under the Commodities Exchange Act. The OCEO intends to survey the public by identifying customers and determining if the CFTC's SmartCheck\SM\ campaign is helping them to identify, avoid, and report financial fraud. DATES: Comments must be submitted on or before August 8, 2016. ADDRESSES: You may submit comments, regarding the burden estimated or any other aspect of the information collection, including suggestions for reducing the burden. Please refer to this notice in any correspondence. Comments, identified by ``CFTC SmartCheck Annual Campaign Impact Tracking Survey,'' and Collection Number 3038--NEW may be submitted by any of the following methods:The Agency Web site, via its Comments Online process: http://comments.cftc.gov. Follow the instructions for submitting comments through the Web site. Mail: Christopher Kirkpatrick, Secretary of the Commission, Commodity Futures Trading Commission, 1155 21st Street NW., Washington, DC 20581. Hand delivery/Courier: Same as Mail above. Federal eRulemaking Portal: http://www.regulations.gov/. Follow the instructions for submitting comments. Please submit your comments using only one method, and identify that it is for the ``SmartCheck Campaign Annual Tracking Survey.'' All comments must be submitted in English, or if not, accompanied by an English translation. Comments will be posted as received to http://www.cftc.gov. You should submit only information that you wish to make available publicly. If you wish the Commission to consider information that you believe is exempt from disclosure under the Freedom of Information Act, a petition for confidential treatment of the exempt information may be submitted according to the procedures established in Sec. 145.9 of the Commission's regulations.\1\ --------------------------------------------------------------------------- \1\ 17 CFR 145.9. --------------------------------------------------------------------------- The Commission reserves the right, but shall have no obligation, to review, pre-screen, filter, redact, refuse or remove any or all of your submission from http://www.cftc.gov that it may deem to be inappropriate for publication, such as obscene language. All submissions that have been redacted or removed that contain comments on the merits of the rulemaking will be retained in the public comment file and will be considered as required under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. FOR FURTHER INFORMATION CONTACT: Nisha Smalls, Lead Customer Outreach Specialist, 202-418-5000, [email protected], Office of Customer Education and Outreach, Commodity Futures Trading Commission, Three Lafayette Centre, 1151 21st Street NW., Washington, DC 20581. SUPPLEMENTARY INFORMATION: Under the PRA, federal agencies must obtain approval from the Office of Management and Budget (``OMB'') for each collection of information they collect or sponsor. ``Collection of information'' is defined in 44 U.S.C. 3502(3) as ``the obtaining, causing to be obtained, soliciting . . . facts or opinions by or for an agency, regardless of form or format [from] ten or more persons.'' An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid OMB control number. 44 U.S.C. 3506(c). The Commission is submitting this collection of information to OMB for approval and assigning of a collection number, pursuant to 5 CFR 1320.10. 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 for each proposed collection of information before submitting the collection to OMB for approval. Under OMB regulations, which implement provisions of the PRA, certain ``facts or opinions submitted in response to general solicitations of comments from the public, published in the Federal Register or other publications,'' 5 CFR 1320.3(h)(4), or ``facts or opinions obtained or solicited at or in connection with public hearings or meetings,'' 5 CFR 1320.3(h)(8), are excluded from the OMB approval process. Title: CFTC SmartCheck Annual Campaign Impact Tracking Survey (OMB Control No. 3038--NEW). This is a request for approval of a new collection. Abstract: In 2010, the Dodd-Frank Act \2\ expanded the Commission's authority to, among other matters related to regulatory oversight, establish funding of consumer education initiatives under its new Whistleblower authority.\3\ Under this new authority, the Commission established an Office of Customer Education and Outreach (``OCEO'') to, among other efforts, survey the public regarding consumer education initiatives.\4\ This notice announces a public survey. This survey will include screening questions to identify the correct respondents and questions to determine if the CFTC's SmartCheck\SM\ campaign is helping [[Page 37189]] customers identify, avoid, and report financial fraud. --------------------------------------------------------------------------- \2\ See Dodd-Frank Wall Street Reform and Consumer Protection Act, Public Law 111-203, 124 Stat. 1376 (2010). The text of the Dodd-Frank Act may be accessed at http://www.cftc.gov/LawRegulation/DoddFrankAct/index.htm. \3\ See 7 U.S.C. 26. \4\ See 17 CFR 165.12. --------------------------------------------------------------------------- The OCEO will use the information collected in the survey to refine the methods used to inform the public about how to best detect and report financial fraud. This will be done by creating a final summary report that includes key findings from the survey. Findings from the summary report will be used to directionally inform the outreach efforts that the CFTC undertakes concerning helping customers avoid financial fraud. The survey will be administered using an online survey tool. The online modality approach will allow presentation of test material to participants in a more convenient and time-efficient manner than other collection methods such as mall intercepts. The online method also allows for a quicker turnaround for data collection. No other collection methods will be used. With respect to the 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 those who are to respond, 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. You should submit only information that you wish to make available publicly. If you wish the Commission to consider information that you believe is exempt from disclosure under the Freedom of Information Act, a petition for confidential treatment of the exempt information may be submitted according to the procedures established in Sec. 145.9 of the Commission's regulations.\5\ --------------------------------------------------------------------------- \5\ 17 CFR 145.9. --------------------------------------------------------------------------- Burden Statement: The screening questions will take about 1 minute to complete. It is anticipated that 4,000 people will be screened. The survey will take about 15 minutes. The cost of the screener survey will be approximately $3,125, which equates to $46.85 per burden hour. 2,000 people will take the 15 minute survey. The cost of the full survey will be approximately $46,875, which equates to $93.75 per burden hour. Based on these assumptions, the total burden hours will be 566.7 hours. The Commission estimates the average burden of this collection of information as follows: Estimated Annual Reporting Burden Hours -------------------------------------------------------------------------------------------------------------------------------------------------------- Annual reporting Frequency Hours per report Total -------------------------------------------------------------------------------------------------------------------------------------------------------- 17 CFR 165.12.................... 4,000 1 response per 1 minute per 4,000 66.7 hours, total burden. respondent. response. 17 CFR 165.12.................... 2,000 1 response per 15 minutes per 2,000 500 hours, burden hour. respondent. response. -------------------------------------------------------------------------------------------------------------------------------------------------------- The proposed survey questions appear below: CFTC SmartCheck Annual Campaign Impact Tracking Survey CFTC TARGET = Age 50-65; HH income 60k+; Answers 1 or 2 for question 1; Invests in 2 or more products in question 2 Screener 1. When it comes to family and personal investments like stocks, mutual funds, or other trading products, how likely are you to be involved in making decisions for your household? ------------------------------------------------------------------------ ------------------------------------------------------------------------ 1................................ Very likely. 2................................ Somewhat likely. 3................................ Not too likely. 4................................ Not at all likely. ------------------------------------------------------------------------ 2. Below is a list of financial products. Please select all that you currently are invested in or have invested in. ------------------------------------------------------------------------ ------------------------------------------------------------------------ 1................................ Stocks or shares. 2................................ Precious metals like gold or silver. 3................................ Foreign currency trading (FOREX). 4................................ Any type of futures or options. 5................................ None of these [Single Punch (SP)]. 6................................ Don't know [SP]. ------------------------------------------------------------------------ Survey [GRID, SP ACROSS] Please answer yes or no to each of the following questions. ------------------------------------------------------------------------ Yes No ------------------------------------------------------------------------ 1 2 ------------------------------------------------------------------------ ------------------------------------------------------------------------ ------------------------------------------------------------------------ 3..................................... Have you read, seen, or heard anything about the Commodity Futures Trading Commission (CFTC)? 4..................................... Have you read, seen, or heard anything about CFTC SmartCheck, a campaign that promotes expert tools and resources to check the background of financial professionals, learn how to avoid investment fraud, and report suspicious activity? [[Page 37190]] 5..................................... Have you read, seen, or heard anything about SmartCheck.gov, a Web site that links to databases which allow investors to check the background of financial professionals? 6..................................... Have you read, seen, or heard anything about Investor.gov, a Web site that allows you to check the background of investment adviser representatives and firms? 7..................................... Have you read, seen, or heard anything about BrokerCheck.org, a Web site that allows you to check the background of brokers who sell stocks, bonds, mutual funds and other securities? ------------------------------------------------------------------------ [GRID, SP ACROSS. RANDOMIZE GRID ROWS] Below are a number of actions that you may or may not be likely to complete. Please indicate how likely or unlikely you are to complete the actions using the scale below. If you were considering investing with someone you had not invested with before, how likely are you to: ---------------------------------------------------------------------------------------------------------------- Not likely or Very likely Somewhat likely unlikely Not too likely Not at all likely ---------------------------------------------------------------------------------------------------------------- 1 2 3 4 5 ---------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------ ------------------------------------------------------------------------ 8................................ Review performance history. 9................................ Talk to references and/or past clients. 10............................... Confirm certifications and/or education. 11............................... Perform a general Internet search. 12............................... Check disciplinary history with an official financial regulator. 13............................... Check licensing and/or registration status with an official financial regulator. 14............................... Personally interview. 15............................... Check job affiliations with an official financial regulator. 16............................... None of these/don't know [SP]. ------------------------------------------------------------------------ [SP] 17. Generally speaking, how concerned are you about unknowingly being part of a fraudulent investment? ------------------------------------------------------------------------ ------------------------------------------------------------------------ 1................................ Very concerned. 2................................ Somewhat concerned. 3................................ Not too concerned. 4................................ Not at all concerned. ------------------------------------------------------------------------ [SP] 18. If you suspected an investment you were aware of was fraudulent, how likely would you be to report it to a government financial agency such as the U.S. Commodity Futures Trading Commission (CFTC) or the U.S. Securities and Exchange Commission (SEC)? ------------------------------------------------------------------------ ------------------------------------------------------------------------ 1................................ Very likely. 2................................ Somewhat likely. 3................................ Not too likely. 4................................ Not at all likely. ------------------------------------------------------------------------ [SP] 19. If you became aware that an investment you were already a part of was fraudulent, how likely would you be to report it to a government financial agency such as the U.S. Commodity Futures Trading Commission (CFTC) or the U.S. Securities and Exchange Commission (SEC)? ------------------------------------------------------------------------ ------------------------------------------------------------------------ 1................................ Very likely. 2................................ Somewhat likely. 3................................ Not too likely. 4................................ Not at all likely. ------------------------------------------------------------------------ [MP; RANDOMIZE LEAVING LAST 1 AT THE END] 20. Which, if any, of the following do you think are potential signs of investment fraud? If the person selling the investment . . . ------------------------------------------------------------------------ ------------------------------------------------------------------------ 1................................ said the investment has a guaranteed rate of return. 2................................ said s/he has a special credential, so they can be trusted. 3................................ said that many of your friends have already invested in the opportunity. 4................................ was willing to charge you half of the regular commission. 5................................ said the opportunity was closing soon, so it was important to act quickly. 6................................ None of these [SP]. ------------------------------------------------------------------------ [GRID, SP ACROSS. RANDOMIZE GRID ROWS] Below are a number of statements with which you may or may not agree. Please indicate how much you agree or disagree with each statement. ---------------------------------------------------------------------------------------------------------------- Neither agree nor Strongly disagree Somewhat disagree disagree Somewhat agree Strongly agree ---------------------------------------------------------------------------------------------------------------- 1 2 3 4 5 ---------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------ ------------------------------------------------------------------------ 21.................................... It is important to know the common signs of fraud when investing. 22.................................... The government reviews and investigates all alleged reports of investment fraud. 23.................................... I know where to go to report suspected or known incidents of investment fraud. 24.................................... I know where to go to check the background of a financial professional. 25.................................... Before I invest, it is important to check the registration and/ or licensing status of a financial professional. 26.................................... Each year, it is important to check the registration and/or licensing of a financial professional with whom I invest. 27.................................... Before I invest, it is important to check the disciplinary history of a financial professional. 28.................................... Each year, it is important to check the disciplinary history of a financial professional. ------------------------------------------------------------------------ Authority: 44 U.S.C. 3501 et seq. Dated: June 3, 2016. Robert N. Sidman, Deputy Secretary of the Commission. [FR Doc. 2016-13623 Filed 6-8-16; 8:45 am] BILLING CODE 6351-01-P
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basis. Members of the public may also ADDRESSES: You may submit comments, Centre, 1151 21st Street NW.,
listen to the meeting by telephone by regarding the burden estimated or any Washington, DC 20581.
calling a domestic toll-free telephone or other aspect of the information SUPPLEMENTARY INFORMATION: Under the
international toll or toll-free number to collection, including suggestions for PRA, federal agencies must obtain
connect to a live, listen-only audio feed. reducing the burden. Please refer to this approval from the Office of Management
Call-in participants should be prepared notice in any correspondence. and Budget (‘‘OMB’’) for each collection
to provide their first name, last name, Comments, identified by ‘‘CFTC of information they collect or sponsor.
and affiliation. SmartCheck Annual Campaign Impact ‘‘Collection of information’’ is defined
Domestic Toll Free: 1–866–844–9416. Tracking Survey,’’ and Collection in 44 U.S.C. 3502(3) as ‘‘the obtaining,
International Toll and Toll Free: Will Number 3038—NEW may be submitted causing to be obtained, soliciting . . .
be posted on the CFTC’s Web site, by any of the following methods: facts or opinions by or for an agency,
http://www.cftc.gov, on the page for the • The Agency Web site, via its regardless of form or format [from] ten
meeting, under Related Documents. Comments Online process: http:// or more persons.’’ An agency may not
Pass Code/Pin Code: 1519074. comments.cftc.gov. Follow the
After the meeting, a transcript of the conduct or sponsor, and a person is not
instructions for submitting comments required to respond to, a collection of
meeting will be published through a through the Web site.
link on the CFTC’s Web site, http:// information unless it displays a valid
• Mail: Christopher Kirkpatrick, OMB control number. 44 U.S.C. 3506(c).
www.cftc.gov. All written submissions Secretary of the Commission,
provided to the CFTC in any form will The Commission is submitting this
Commodity Futures Trading collection of information to OMB for
also be published on the CFTC’s Web
Commission, 1155 21st Street NW., approval and assigning of a collection
site. Persons requiring special
Washington, DC 20581. number, pursuant to 5 CFR 1320.10.
accommodations to attend the meeting
• Hand delivery/Courier: Same as Section 3506(c)(2)(A) of the PRA, 44
because of a disability should notify the
Mail above. U.S.C. 3506(c)(2)(A), requires federal
contact person above.
• Federal eRulemaking Portal: http:// agencies to provide a 60-day notice in
Authority: 5 U.S.C. app. 2 10(a)(2). www.regulations.gov/. Follow the the Federal Register for each proposed
Dated: June 3, 2016. instructions for submitting comments. collection of information before
Robert N. Sidman, Please submit your comments using submitting the collection to OMB for
Deputy Secretary of the Commission. only one method, and identify that it is approval. Under OMB regulations,
[FR Doc. 2016–13622 Filed 6–8–16; 8:45 am] for the ‘‘SmartCheck Campaign Annual which implement provisions of the
BILLING CODE 6351–01–P
Tracking Survey.’’ PRA, certain ‘‘facts or opinions
All comments must be submitted in submitted in response to general
English, or if not, accompanied by an solicitations of comments from the
COMMODITY FUTURES TRADING English translation. Comments will be public, published in the Federal
COMMISSION posted as received to http:// Register or other publications,’’ 5 CFR
www.cftc.gov. You should submit only 1320.3(h)(4), or ‘‘facts or opinions
Agency Information Collection information that you wish to make obtained or solicited at or in connection
Activities: Notice Requesting Approval available publicly. If you wish the with public hearings or meetings,’’ 5
of New Collection, CFTC SmartCheck Commission to consider information CFR 1320.3(h)(8), are excluded from the
Annual Campaign Impact Tracking that you believe is exempt from OMB approval process.
Survey, 3038—NEW disclosure under the Freedom of Title: CFTC SmartCheck Annual
Information Act, a petition for Campaign Impact Tracking Survey
AGENCY: Commodity Futures Trading
Commission. confidential treatment of the exempt (OMB Control No. 3038—NEW). This is
information may be submitted according a request for approval of a new
ACTION: Notice.
to the procedures established in § 145.9 collection.
SUMMARY: The Commodity Futures of the Commission’s regulations.1 Abstract: In 2010, the Dodd-Frank
Trading Commission (‘‘CFTC’’ or The Commission reserves the right, Act 2 expanded the Commission’s
‘‘Commission’’) is announcing an but shall have no obligation, to review, authority to, among other matters
opportunity for public comment on a pre-screen, filter, redact, refuse or related to regulatory oversight, establish
proposed collection of information by remove any or all of your submission funding of consumer education
the agency. Under the Paperwork from http://www.cftc.gov that it may initiatives under its new Whistleblower
Reduction Act (‘‘PRA’’), Federal deem to be inappropriate for authority.3 Under this new authority,
agencies are required to publish notice publication, such as obscene language. the Commission established an Office of
in the Federal Register concerning each All submissions that have been redacted Customer Education and Outreach
proposed collection of information and or removed that contain comments on (‘‘OCEO’’) to, among other efforts,
to allow 60 days for public comment. the merits of the rulemaking will be survey the public regarding consumer
The CFTC’s Office of Customer retained in the public comment file and education initiatives.4 This notice
Education and Outreach (OCEO) will be considered as required under the announces a public survey. This survey
develops campaigns to change customer Administrative Procedure Act and other will include screening questions to
behaviors, so that customers can better applicable laws, and may be accessible identify the correct respondents and
avoid fraud as defined under the under the Freedom of Information Act. questions to determine if the CFTC’s
Commodities Exchange Act. The OCEO FOR FURTHER INFORMATION CONTACT: SmartCheckSM campaign is helping
sradovich on DSK3TPTVN1PROD with NOTICES
intends to survey the public by Nisha Smalls, Lead Customer Outreach
identifying customers and determining Specialist, 202–418–5000, consumers@ 2 See Dodd-Frank Wall Street Reform and
if the CFTC’s SmartCheckSM campaign cftc.gov, Office of Customer Education Consumer Protection Act, Public Law 111–203, 124
is helping them to identify, avoid, and Stat. 1376 (2010). The text of the Dodd-Frank Act
and Outreach, Commodity Futures may be accessed at http://www.cftc.gov/
report financial fraud. Trading Commission, Three Lafayette LawRegulation/DoddFrankAct/index.htm.
DATES: Comments must be submitted on 3 See 7 U.S.C. 26.
or before August 8, 2016. 1 17 CFR 145.9. 4 See 17 CFR 165.12.
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customers identify, avoid, and report With respect to the collection of publicly. If you wish the Commission to
financial fraud. information, the CFTC invites consider information that you believe is
The OCEO will use the information comments on: exempt from disclosure under the
collected in the survey to refine the • Whether the proposed collection of Freedom of Information Act, a petition
methods used to inform the public information is necessary for the proper for confidential treatment of the exempt
about how to best detect and report performance of the functions of the information may be submitted according
financial fraud. This will be done by Commission, including whether the to the procedures established in § 145.9
creating a final summary report that information will have a practical use; of the Commission’s regulations.5
includes key findings from the survey. • The accuracy of the Commission’s
estimate of the burden of the proposed Burden Statement: The screening
Findings from the summary report questions will take about 1 minute to
collection of information, including the
will be used to directionally inform the complete. It is anticipated that 4,000
validity of the methodology and
outreach efforts that the CFTC assumptions used; people will be screened. The survey will
undertakes concerning helping • Ways to enhance the quality, take about 15 minutes. The cost of the
customers avoid financial fraud. usefulness, and clarity of the screener survey will be approximately
The survey will be administered using information to be collected; and $3,125, which equates to $46.85 per
an online survey tool. The online • Ways to minimize the burden of burden hour. 2,000 people will take the
modality approach will allow collection of information on those who 15 minute survey. The cost of the full
presentation of test material to are to respond, including through the survey will be approximately $46,875,
participants in a more convenient and use of appropriate automated electronic,
time-efficient manner than other which equates to $93.75 per burden
mechanical, or other technological
collection methods such as mall hour. Based on these assumptions, the
collection techniques or other forms of
intercepts. The online method also information technology; e.g., permitting total burden hours will be 566.7 hours.
allows for a quicker turnaround for data electronic submission of responses. The Commission estimates the average
collection. No other collection methods You should submit only information burden of this collection of information
will be used. that you wish to make available as follows:
ESTIMATED ANNUAL REPORTING BURDEN HOURS
Annual Frequency Hours per report Total
reporting
17 CFR 165.12 .............. 4,000 1 response per re- 1 minute per response 4,000 66.7 hours, total burden.
spondent.
17 CFR 165.12 .............. 2,000 1 response per re- 15 minutes per re- 2,000 500 hours, burden hour.
spondent. sponse.
The proposed survey questions
appear below:
1 .......... Stocks or shares.
CFTC SmartCheck Annual Campaign 2 .......... Precious metals like gold or silver.
Impact Tracking Survey 3 .......... Foreign currency trading (FOREX).
CFTC TARGET = Age 50–65; HH 4 .......... Any type of futures or options.
income 60k+; Answers 1 or 2 for 5 .......... None of these [Single Punch (SP)].
question 1; Invests in 2 or more 6 .......... Don’t know [SP].
products in question 2
Survey
Screener
1. When it comes to family and [GRID, SP ACROSS]
personal investments like stocks, Please answer yes or no to each of the
mutual funds, or other trading products, following questions.
how likely are you to be involved in
making decisions for your household? Yes No
1 .......... Very likely. 1 2
2 .......... Somewhat likely.
3 .......... Not too likely.
4 .......... Not at all likely.
2. Below is a list of financial products.
Please select all that you currently are
invested in or have invested in.
sradovich on DSK3TPTVN1PROD with NOTICES
3 ................................. Have you read, seen, or heard anything about the Commodity Futures Trading Commission (CFTC)?
4 ................................. Have you read, seen, or heard anything about CFTC SmartCheck, a campaign that promotes expert tools and re-
sources to check the background of financial professionals, learn how to avoid investment fraud, and report sus-
picious activity?
5 17 CFR 145.9.
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5 ................................. Have you read, seen, or heard anything about SmartCheck.gov, a Web site that links to databases which allow inves-
tors to check the background of financial professionals?
6 ................................. Have you read, seen, or heard anything about Investor.gov, a Web site that allows you to check the background of in-
vestment adviser representatives and firms?
7 ................................. Have you read, seen, or heard anything about BrokerCheck.org, a Web site that allows you to check the background of
brokers who sell stocks, bonds, mutual funds and other securities?
[GRID, SP ACROSS. RANDOMIZE GRID complete. Please indicate how likely or If you were considering investing
ROWS] unlikely you are to complete the actions with someone you had not invested
Below are a number of actions that using the scale below. with before, how likely are you to:
you may or may not be likely to
Very likely Somewhat likely Not likely or unlikely Not too likely Not at all likely
1 2 3 4 5
8 .......... Review performance history. likely would you be to report it to a [MP; RANDOMIZE LEAVING LAST 1
9 .......... Talk to references and/or past cli- government financial agency such as the AT THE END]
ents. U.S. Commodity Futures Trading
10 ........ Confirm certifications and/or edu- Commission (CFTC) or the U.S. 20. Which, if any, of the following do
cation. Securities and Exchange Commission you think are potential signs of
11 ........ Perform a general Internet search. investment fraud? If the person selling
(SEC)?
12 ........ Check disciplinary history with an the investment . . .
official financial regulator.
13 ........ Check licensing and/or registration 1 .......... Very likely.
status with an official financial 2 .......... Somewhat likely. 1 .......... said the investment has a guaran-
regulator. teed rate of return.
3 .......... Not too likely.
14 ........ Personally interview. 4 .......... Not at all likely. 2 .......... said s/he has a special credential,
15 ........ Check job affiliations with an official so they can be trusted.
financial regulator. 3 .......... said that many of your friends have
16 ........ None of these/don’t know [SP].
[SP] already invested in the oppor-
tunity.
19. If you became aware that an 4 .......... was willing to charge you half of
[SP] investment you were already a part of the regular commission.
17. Generally speaking, how was fraudulent, how likely would you 5 .......... said the opportunity was closing
concerned are you about unknowingly be to report it to a government financial soon, so it was important to act
being part of a fraudulent investment? agency such as the U.S. Commodity quickly.
Futures Trading Commission (CFTC) or 6 .......... None of these [SP].
1 .......... Very concerned. the U.S. Securities and Exchange
2 .......... Somewhat concerned. Commission (SEC)? [GRID, SP ACROSS. RANDOMIZE GRID
3 .......... Not too concerned. ROWS]
4 .......... Not at all concerned.
1 .......... Very likely.
2 .......... Somewhat likely. Below are a number of statements
[SP] with which you may or may not agree.
3 .......... Not too likely.
18. If you suspected an investment 4 .......... Not at all likely. Please indicate how much you agree or
you were aware of was fraudulent, how disagree with each statement.
Strongly disagree Somewhat disagree Neither agree nor disagree Somewhat agree Strongly agree
1 2 3 4 5
21 ............................... It is important to know the common signs of fraud when investing.
22 ............................... The government reviews and investigates all alleged reports of investment fraud.
23 ............................... I know where to go to report suspected or known incidents of investment fraud.
24 ............................... I know where to go to check the background of a financial professional.
25 ............................... Before I invest, it is important to check the registration and/or licensing status of a financial professional.
26 ............................... Each year, it is important to check the registration and/or licensing of a financial professional with whom I invest.
27 ............................... Before I invest, it is important to check the disciplinary history of a financial professional.
28 ............................... Each year, it is important to check the disciplinary history of a financial professional.
sradovich on DSK3TPTVN1PROD with NOTICES
Authority: 44 U.S.C. 3501 et seq. Dated: June 3, 2016.
Robert N. Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2016–13623 Filed 6–8–16; 8:45 am]
BILLING CODE 6351–01–P
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DEPARTMENT OF ENERGY The Commission strongly encourages The projects would all be located at
electronic filing. Please file comments, existing locks and dams owned by the
Federal Energy Regulatory motions to intervene, notices of intent, U.S. Army Corps of Engineers. The
Commission and competing applications using the Emsworth Locks and Dam Hydroelectric
Commission’s eFiling system at http:// Project would be located on the Ohio
[Project No. 14782–000] www.ferc.gov/docs-filing/efiling.asp. River near Emsworth, Pennsylvania, in
Commenters can submit brief comments Allegheny County at river mile (RM)
Energy Resources USA Inc.; Notice of up to 6,000 characters, without prior
Preliminary Permit Application 6.2. The Emsworth Back Channel
registration, using the eComment system Hydroelectric Project would be located
Accepted for Filing and Soliciting at http://www.ferc.gov/docs-filing/
Comments, Motions To Intervene, and on the Ohio River near Coraopolis,
ecomment.asp. You must include your Pennsylvania, in Allegheny County at
Competing Applications name and contact information at the end
RM 6.8. The Montgomery Locks and
On May 4, 2016, Energy Resources of your comments. For assistance,
Dam Hydroelectric Project would be
USA Inc. filed an application for a please contact FERC Online Support at
located on the Ohio River downstream
preliminary permit, pursuant to section FERCOnlineSupport@ferc.gov, (866)
208–3676 (toll free), or (202) 502–8659 of Monaca, Pennsylvania, in Beaver
4(f) of the Federal Power Act (FPA), County at RM 31.7. The projects would
proposing to study the feasibility of the (TTY). In lieu of electronic filing, please
send a paper copy to: Secretary, Federal collectively occupy 17.1 acres of federal
R.D. Bailey Dam Hydroelectric Project land.
(R.D. Bailey Project or project) to be Energy Regulatory Commission, 888
located at the existing U.S. Army Corps First Street NE., Washington, DC 20426. Staff has prepared a multi-project
of Engineers’ R.D. Bailey Dam on the The first page of any filing should environmental assessment (EA) that
Guyandotte River in Mingo and include docket number P–14782–000. analyzes the potential environmental
Wyoming Counties, West Virginia. The More information about this project, effects of the three projects and
sole purpose of a preliminary permit, if including a copy of the application, can concludes that constructing and
issued, is to grant the permit holder be viewed or printed on the ‘‘eLibrary’’ operating the projects, with appropriate
priority to file a license application link of the Commission’s Web site at environmental protection measures,
during the permit term. A preliminary http://www.ferc.gov/docs-filing/ would not constitute a major federal
permit does not authorize the permit elibrary.asp. Enter the docket number action that would significantly affect the
holder to perform any land-disturbing (P–14782) in the docket number field to quality of the human environment.
activities or otherwise enter upon lands access the document. For assistance,
contact FERC Online Support. A copy of the EA is available for
or waters owned by others without the
owners’ express permission. review at the Commission in the Public
Dated: June 2, 2016. Reference Room or may be viewed on
The proposed project would consist of Kimberly D. Bose,
the following: (1) A new 90-foot-long by the Commission’s Web site at
Secretary. www.ferc.gov using the ‘‘eLibrary’’ link.
45-foot-wide reinforced concrete
powerhouse to be located downstream
[FR Doc. 2016–13648 Filed 6–8–16; 8:45 am] Enter the docket number, excluding the
on the tailrace side of R.D. Bailey Dam; BILLING CODE 6717–01–P last three digits, in the docket number
(2) a new 12-foot by 9-foot by 250-foot- field to access the document. For
long concrete conduit connecting the assistance, contact FERC Online
DEPARTMENT OF ENERGY Support at FERCOnlineSupport@
existing outlet tunnel with the
powerhouse; (3) two 5-megawatt (MW) Federal Energy Regulatory ferc.gov or toll-free at 1–866–208–3676,
vertical Kaplan turbine-generator units Commission or for TTY, (202) 502–8659.
with a total generating capacity of 10 You may also register online at http://
MW; (4) a new 120-foot-long by 80-foot- www.ferc.gov/docs-filing/esubscription.
wide tailrace; (5) a new 60-foot-long by [Project No. 13757–002; Project No. 13761–
002; Project No. 13768–002] asp to be notified via email of new
50-foot-wide substation with a 10-mega- filings and issuances related to these or
volt-ampere 4.16/69-kilovolt (kV) three- FFP Missouri 5, LLC; FFP Missouri 6, other pending projects. For assistance,
phase step-up transformer; (6) a new LLC; Solia 6 Hydroelectric, LLC; Notice contact FERC Online Support.
0.6-mile-long, 69-kV transmission line; of Availability of Environmental
and (7) appurtenant facilities. The R.D. Any comments should be filed within
Assessment
Bailey Project would have an estimated 30 days from the date of this notice. The
annual generation of 38.5 gigawatt- In accordance with the National Commission strongly encourages
hours. Environmental Policy Act of 1969 and electronic filing. Please file comments
Applicant Contact: Mr. Ander the Federal Energy Regulatory using the Commission’s eFiling system
Gonzalez, Energy Resources USA Inc., Commission’s (Commission or FERC) at http://www.ferc.gov/docs-filing/
350 Lincoln Road, 2nd Floor, Miami, FL regulations, 18 Code of Federal efiling.asp. For assistance, please
33139; telephone (954) 248–8425. Regulations Part 380, Office of Energy contact FERC Online Support at FERC
FERC Contact: Monir Chowdhury; Projects staff has reviewed applications OnlineSupport@ferc.gov or toll-free at
phone: (202) 502–6736. for original licenses for the Emsworth 1–866–208–3676, or for TTY, 202–502–
Deadline for filing comments, motions Locks and Dam Hydroelectric Project 8659. In lieu of electronic filing, please
sradovich on DSK3TPTVN1PROD with NOTICES
to intervene, competing applications (FERC No. 13757–002), Emsworth Back send a paper copy to: Secretary, Federal
(without notices of intent), or notices of Channel Hydroelectric Project (FERC Energy Regulatory Commission, 888
intent to file competing applications: 60 No. 13761–002), and Montgomery Locks First Street NE., Washington, DC 20426.
days from the issuance of this notice. and Dam Hydroelectric Project (FERC The first page of any filing should
Competing applications and notices of No. 13768–002) on the Ohio River. include: ‘‘Emsworth Locks and Dam
intent must meet the requirements of 18 These projects are referred to Hydroelectric Project No. 13757–002,
CFR 4.36. collectively as the Ohio River Projects.
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Document Created: 2018-02-08 07:33:32
Document Modified: 2018-02-08 07:33:32
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| Action | Notice. | |
| Dates | Comments must be submitted on or before August 8, 2016. | |
| Contact | Nisha Smalls, Lead Customer Outreach Specialist, 202-418-5000, [email protected], Office of Customer Education and Outreach, Commodity Futures Trading Commission, Three Lafayette Centre, 1151 21st Street NW., Washington, DC 20581. | |
| FR Citation | 81 FR 37188 |
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