81 FR 42668 - Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0005, Rules Relating to the Operations and Activities of Commodity Pool Operators and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants
COMMODITY FUTURES TRADING COMMISSION Federal Register Volume 81, Issue 126 (June 30, 2016)
Federal Register Volume 81, Issue 126 (June 30, 2016)
| Page Range | 42668-42669 | |
| FR Document | 2016-15472 |
[Federal Register Volume 81, Number 126 (Thursday, June 30, 2016)] [Notices] [Pages 42668-42669] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-15472] ----------------------------------------------------------------------- COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0005, Rules Relating to the Operations and Activities of Commodity Pool Operators and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants AGENCY: Commodity Futures Trading Commission. ACTION: Notice. ----------------------------------------------------------------------- SUMMARY: The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is announcing an opportunity for public comment on the proposed collection of certain 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, including each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on requirements relating to reporting and recordkeeping by Commodity Pool Operators and Commodity Trading Advisors. DATES: Comments must be submitted on or before August 29, 2016. ADDRESSES: You may submit comments, identified by ``Renewal of Collection Relating to the Operations and Activities of Commodity Pool Operators and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants'' by any of the following methods:The Agency's Web site, at 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, Three Lafayette Centre, 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 through the Portal. Please submit your comments using only one method. FOR FURTHER INFORMATION CONTACT: Amanda Olear, Associate Director, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission, 1155 21st St. NW., Washington, DC 20581, (202) 418- 5283; email: [email protected], and refer to OMB Control No. 3038-0005. SUPPLEMENTARY 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 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 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. Title: Rules Relating to the Operations and Activities of Commodity Pool Operators and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants (OMB Control No. 3038-0005). This is a request for extension of a currently approved information collection. Abstract: Pursuant to the Commodity Exchange Act, as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), Public Law 111-203, 124 Stat. 1376 (2010), the Commission promulgated rules and forms relating to registration and compliance with the Commission regulations applicable to intermediaries, and employees and principals thereof, operating in the futures, options, swaps, and retail forex markets. As part of the Commission's rulemaking effort, the [[Page 42669]] Commission amended the compliance regime for Commodity Pool Operators, which is part of a previously approved information collection, through the adoption of a compliance regime applicable to Commodity Pool Operators of Registered Investment Companies, 78 FR 52308 (Aug. 22, 2013). The disclosure, filing, and recordkeeping requirements within part 4 of the Commission's regulations were established to assist customers, to facilitate the Commission and the National Futures Association (``NFA'') in monitoring compliance with the part 4 rules, and to enable the Commission to better monitor the market risks posed by the Commission's registrants. The information collections are necessary to enable the Commission and NFA to accomplish the purposes of the compliance regime set forth in part 4 enumerated above. 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. 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 Information Collection Request 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. Burden Statement: The respondent burden for this collection is estimated to be 4 hours \2\ per response. --------------------------------------------------------------------------- \2\ This has been rounded down from 4.0348. --------------------------------------------------------------------------- Respondents/Affected Entities: Commodity Pool Operators, Commodity Trading Advisors. Estimated Number of Respondents: 48,046. Estimated Total Annual Burden Hours on Respondents: 276,060 hours.\3\ --------------------------------------------------------------------------- \3\ The estimated total burden hours for the collections have been rounded down slightly, based on the estimated burden hour per response of 4.0348. --------------------------------------------------------------------------- Frequency of Collection: Periodically. Authority: 44 U.S.C. 3501 et seq. Dated: June 24, 2016. Robert N. Sidman, Deputy Secretary of the Commission. [FR Doc. 2016-15472 Filed 6-29-16; 8:45 am] BILLING CODE 6351-01-P
![42668 Federal Register / Vol. 81, No. 126 / Thursday, June 30, 2016 / Notices
certain swaps if they are required to be number of respondents and the • The Agency’s Web site, at http://
cleared by the Commission. estimated burden hours. The respondent comments.cftc.gov/. Follow the
Commission regulation 50.51 permits burden for this collection is estimated to instructions for submitting comments
certain cooperatives to elect not to clear be as follows: through the Web site.
certain swaps that otherwise would be Respondents/Affected Entities: Parties • Mail: Christopher Kirkpatrick,
required to be cleared, provided that electing the cooperative exemption Secretary of the Commission,
they meet certain conditions. The rule under Commission regulation 50.51. Commodity Futures Trading
further requires the reporting of certain Estimated number of respondents: 25. Commission, Three Lafayette Centre,
information if the exemption for Estimated average burden hours per 1155 21st Street NW., Washington, DC
cooperatives is elected. This collection Respondent: 1 hour. 20581.
pertains to information the Commission Estimated total annual burden hours • Hand Delivery/Courier: Same as
needs to monitor use of the exemption on respondents: 25 hours. Mail above.
and assess market risk in connection Frequency of collection: Annually; on • Federal eRulemaking Portal: http://
therewith. occasion. www.regulations.gov/. Follow the
With respect to the collection of There are no capital costs or operating
instructions for submitting comments
information, the CFTC invites and maintenance costs associated with
through the Portal.
comments on: this collection.
Please submit your comments using
• Whether the proposed collection of Authority: 44 U.S.C. 3501 et seq. only one method.
information is necessary for the proper Dated: June 24, 2016. FOR FURTHER INFORMATION CONTACT:
performance of the functions of the Robert N. Sidman, Amanda Olear, Associate Director,
Commission, including whether the Deputy Secretary of the Commission. Division of Swap Dealer and
information will have a practical use; Intermediary Oversight, Commodity
[FR Doc. 2016–15473 Filed 6–29–16; 8:45 am]
• The accuracy of the Commission’s Futures Trading Commission, 1155 21st
BILLING CODE 6351–01–P
estimate of the burden of the proposed St. NW., Washington, DC 20581, (202)
collection of information, including the 418–5283; email: aolear@cftc.gov, and
validity of the methodology and refer to OMB Control No. 3038–0005.
COMMODITY FUTURES TRADING
assumptions used;
• Ways to enhance the quality, COMMISSION SUPPLEMENTARY INFORMATION: Under the
usefulness, and clarity of the PRA, Federal agencies must obtain
Agency Information Collection approval from the Office of Management
information to be collected; and Activities: Notice of Intent To Renew
• Ways to minimize the burden of and Budget (‘‘OMB’’) for each collection
Collection 3038–0005, Rules Relating of information they conduct or sponsor.
collection of information on those who to the Operations and Activities of
are to respond, including through the ‘‘Collection of Information’’ is defined
Commodity Pool Operators and in 44 U.S.C. 3502(3) and 5 CFR 1320.3
use of appropriate automated electronic, Commodity Trading Advisors and to
mechanical, or other technological and includes agency requests or
Monthly Reporting by Futures requirements that members of the public
collection techniques or other forms of Commission Merchants
information technology; e.g., permitting submit reports, keep records, or provide
electronic submission of responses. AGENCY: Commodity Futures Trading information to a third party. Section
You should submit only information Commission. 3506(c)(2)(A) of the PRA, 44 U.S.C.
that you wish to make available ACTION: Notice. 3506(c)(2)(A), requires Federal agencies
publicly. If you wish the Commission to to provide a 60-day notice in the
consider information that you believe is SUMMARY: The Commodity Futures Federal Register concerning each
exempt from disclosure under the Trading Commission (‘‘CFTC’’ or proposed collection of information
Freedom of Information Act, a petition ‘‘Commission’’) is announcing an before submitting the collection to OMB
for confidential treatment of the exempt opportunity for public comment on the for approval. To comply with this
information may be submitted according proposed collection of certain requirement, the CFTC is publishing
to the procedures established in § 145.9 information by the agency. Under the notice of the proposed collection of
of the Commission’s regulations.1 Paperwork Reduction Act (‘‘PRA’’), information listed below.
The Commission reserves the right, Federal agencies are required to publish Title: Rules Relating to the Operations
but shall have no obligation, to review, notice in the Federal Register and Activities of Commodity Pool
pre-screen, filter, redact, refuse or concerning each proposed collection of Operators and Commodity Trading
remove any or all of your submission information, including each proposed Advisors and to Monthly Reporting by
from http://www.cftc.gov that it may extension of an existing collection of Futures Commission Merchants (OMB
deem to be inappropriate for information, and to allow 60 days for Control No. 3038–0005). This is a
publication, such as obscene language. public comment. This notice solicits request for extension of a currently
All submissions that have been redacted comments on requirements relating to approved information collection.
or removed that contain comments on reporting and recordkeeping by Abstract: Pursuant to the Commodity
the merits of the Information Collection Commodity Pool Operators and Exchange Act, as amended by the Dodd-
Request will be retained in the public Commodity Trading Advisors. Frank Wall Street Reform and Consumer
comment file and will be considered as DATES: Comments must be submitted on Protection Act (‘‘Dodd-Frank Act’’),
required under the Administrative or before August 29, 2016. Public Law 111–203, 124 Stat. 1376
ADDRESSES: You may submit comments, (2010), the Commission promulgated
mstockstill on DSK3G9T082PROD with NOTICES
Procedure Act and other applicable
laws, and may be accessible under the identified by ‘‘Renewal of Collection rules and forms relating to registration
Freedom of Information Act. Relating to the Operations and and compliance with the Commission
Burden Statement: The Commission Activities of Commodity Pool Operators regulations applicable to intermediaries,
is revising its estimate of the burden for and Commodity Trading Advisors and and employees and principals thereof,
this collection to update the estimated to Monthly Reporting by Futures operating in the futures, options, swaps,
Commission Merchants’’ by any of the and retail forex markets. As part of the
1 17 CFR 145.9. following methods: Commission’s rulemaking effort, the
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![Federal Register / Vol. 81, No. 126 / Thursday, June 30, 2016 / Notices 42669
Commission amended the compliance from http://www.cftc.gov that it may DATES: Submit written or electronic
regime for Commodity Pool Operators, deem to be inappropriate for comments on the collection of
which is part of a previously approved publication, such as obscene language. information by August 29, 2016.
information collection, through the All submissions that have been redacted ADDRESSES: You may submit comments,
adoption of a compliance regime or removed that contain comments on identified by Docket No. CPSC–2009–
applicable to Commodity Pool the merits of the Information Collection 0088, by any of the following methods:
Operators of Registered Investment Request will be retained in the public Electronic Submissions: Submit
Companies, 78 FR 52308 (Aug. 22, comment file and will be considered as electronic comments to the Federal
2013). required under the Administrative
The disclosure, filing, and eRulemaking Portal at: http://
Procedure Act and other applicable www.regulations.gov. Follow the
recordkeeping requirements within part laws, and may be accessible under the
4 of the Commission’s regulations were instructions for submitting comments.
Freedom of Information Act. The Commission does not accept
established to assist customers, to Burden Statement: The respondent
facilitate the Commission and the comments submitted by electronic mail
burden for this collection is estimated to (email), except through
National Futures Association (‘‘NFA’’) be 4 hours 2 per response.
in monitoring compliance with the part www.regulations.gov. The Commission
Respondents/Affected Entities: encourages you to submit electronic
4 rules, and to enable the Commission Commodity Pool Operators, Commodity
to better monitor the market risks posed comments by using the Federal
Trading Advisors. eRulemaking Portal, as described above.
by the Commission’s registrants. The Estimated Number of Respondents:
information collections are necessary to Written Submissions: Submit written
48,046.
enable the Commission and NFA to submissions by mail/hand delivery/
Estimated Total Annual Burden
accomplish the purposes of the courier to: Office of the Secretary,
Hours on Respondents: 276,060 hours.3
compliance regime set forth in part 4 Consumer Product Safety Commission,
Frequency of Collection: Periodically.
enumerated above. Room 820, 4330 East West Highway,
Authority: 44 U.S.C. 3501 et seq. Bethesda, MD 20814; telephone (301)
With respect to the collection of
information, the CFTC invites Dated: June 24, 2016. 504–7923.
comments on: Robert N. Sidman, Instructions: All submissions received
• Whether the proposed collection of Deputy Secretary of the Commission. must include the agency name and
information is necessary for the proper [FR Doc. 2016–15472 Filed 6–29–16; 8:45 am] docket number for this notice. All
performance of the functions of the BILLING CODE 6351–01–P
comments received may be posted
Commission, including whether the without change, including any personal
information will have a practical use; identifiers, contact information, or other
• The accuracy of the Commission’s personal information provided, to:
estimate of the burden of the proposed CONSUMER PRODUCT SAFETY http://www.regulations.gov. Do not
collection of information, including the COMMISSION submit confidential business
validity of the methodology and information, trade secret information, or
assumptions used; [Docket No. CPSC–2009–0088] other sensitive or protected information
• Ways to enhance the quality, that you do not want to be available to
usefulness, and clarity of the Agency Information Collection the public. If furnished at all, such
information to be collected; and Activities; Proposed Collection; information should be submitted in
• Ways to minimize the burden of Comment Request; Third Party writing.
collection of information on those who Conformity Assessment Body Docket: For access to the docket to
are to respond, including through the Registration Form read background documents or
use of appropriate automated electronic, comments received, go to: http://
AGENCY: Consumer Product Safety
mechanical, or other technological www.regulations.gov, and insert the
Commission.
collection techniques or other forms of docket number CPSC–2009–0088, into
information technology; e.g., permitting ACTION: Notice.
the ‘‘Search’’ box, and follow the
electronic submission of responses. SUMMARY: As required by the Paperwork prompts.
All comments must be submitted in
Reduction Act of 1995 (44 U.S.C. FOR FURTHER INFORMATION CONTACT:
English, or if not, accompanied by an
Chapter 35), the Consumer Product Robert H. Squibb, Consumer Product
English translation. Comments will be
Safety Commission (‘‘CPSC’’ or Safety Commission, 4330 East West
posted as received to http://
‘‘Commission’’) requests comments on a Highway, Bethesda, MD 20814; (301)
www.cftc.gov. You should submit only
proposed extension of approval of a 504–7815, or by email to: rsquibb@
information that you wish to make
collection of information under the cpsc.gov.
available publicly. If you wish the
requirements pertaining to a third party
Commission to consider information SUPPLEMENTARY INFORMATION: CPSC
conformity assessment body registration
that you believe is exempt from seeks to renew the following currently
form, approved previously under OMB
disclosure under the Freedom of approved collection of information:
Control No. 3041–0143. The
Information Act, a petition for
Commission will consider all comments Title: Third Party Conformity
confidential treatment of the exempt
received in response to this notice Assessment Body Registration Form.
information may be submitted according
before requesting an extension of this OMB Number: 3041–0143.
mstockstill on DSK3G9T082PROD with NOTICES
to the procedures established in § 145.9
collection of information from the Office Type of Review: Renewal of
of the Commission’s regulations.1
of Management and Budget (‘‘OMB’’). collection.
The Commission reserves the right,
but shall have no obligation, to review, Frequency of Response: On occasion.
2 This has been rounded down from 4.0348.
pre-screen, filter, redact, refuse or 3 The
Affected Public: Third party
estimated total burden hours for the
remove any or all of your submission collections have been rounded down slightly, based
conformity assessment bodies seeking
on the estimated burden hour per response of acceptance of accreditation or
1 17 CFR 145.9. 4.0348. continuing accreditation.
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Document Created: 2018-02-08 07:45:01
Document Modified: 2018-02-08 07:45:01
| 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 29, 2016. | |
| Contact | Amanda Olear, Associate Director, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission, 1155 21st St. NW., Washington, DC 20581, (202) 418- 5283; email: [email protected], and refer to OMB Control No. 3038-0005. | |
| FR Citation | 81 FR 42668 |
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