81_FR_53280 81 FR 53125 - Agency Information Collection Activities Under OMB Review

81 FR 53125 - Agency Information Collection Activities Under OMB Review

COMMODITY FUTURES TRADING COMMISSION

Federal Register Volume 81, Issue 155 (August 11, 2016)

Page Range53125-53127
FR Document2016-19127

In compliance with the Paperwork Reduction Act of 1995 (PRA), 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.

Federal Register, Volume 81 Issue 155 (Thursday, August 11, 2016)
[Federal Register Volume 81, Number 155 (Thursday, August 11, 2016)]
[Notices]
[Pages 53125-53127]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-19127]


=======================================================================
-----------------------------------------------------------------------

COMMODITY FUTURES TRADING COMMISSION


Agency Information Collection Activities Under OMB Review

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice.

-----------------------------------------------------------------------

SUMMARY: In compliance with the Paperwork Reduction Act of 1995 (PRA), 
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 September 12, 2016.

ADDRESSES: Comments regarding the burden estimated or any other aspect 
of the information collection, including suggestions for reducing the 
burden, may be submitted directly to the Office of Information and 
Regulatory Affairs (OIRA) in OMB, within 30 days of the notice's 
publication, by email at [email protected]. Please identify 
the comments by OMB Control No. 3038-NEW. Please provide the Commodity 
Futures Trading Commission (``CFTC'' or ``Commission'') with a copy of 
all submitted comments at the address listed below. Please refer to OMB 
Reference No. 3038-NEW, found on http://reginfo.gov. Comments may also 
be mailed to the Office of Information and Regulatory Affairs, Office 
of Management and Budget, Attention: Desk Officer for the Commodity 
Futures Trading Commission, 725 17th Street NW., Washington, DC 20503, 
and to: Nisha Smalls, Office of Customer Education and Outreach, 
Commodity Futures Trading Commission, 1155 21st Street NW., Washington, 
DC 20581; or through the Agency's Web site at http://comments.cftc.gov. 
Follow the instructions for submitting comments through the Web site.
    Comments may also be mailed to: Christopher Kirkpatrick, Secretary 
of the Commission, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581; or sent 
by hand delivery/courier to the same address.
    A copy of the supporting statements for the collection of 
information discussed above may be obtained by visiting reginfo.gov. 
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.

FOR FURTHER INFORMATION CONTACT: Nisha Smalls, Office of Customer 
Education and Outreach, Commodity Futures Trading Commission, 1155 21st 
Street NW., Washington, DC 20581, (202) 418-5895; FAX: (202) 418-5541; 
email: [email protected] and refer to this Federal Register notice. A 
copy may also be obtained from this contact.

SUPPLEMENTARY INFORMATION: The Commission'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 Commodity Exchange Act. The OCEO intends to survey the public by

[[Page 53126]]

identifying customers and determining if the CFTC's SmartCheck\SM\ 
campaign is helping them to identify, avoid, and report financial 
fraud.
    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 \1\ expanded the Commission's 
authority to, among other matters related to regulatory oversight, 
establish funding of consumer education initiatives under its new 
Whistleblower authority.\2\ Under this new authority, the Commission 
established the OCEO to, among other efforts, survey the public 
regarding consumer education initiatives.\3\ 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 customers identify, avoid, and 
report financial fraud.
---------------------------------------------------------------------------

    \1\ 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.
    \2\ See 7 U.S.C. 26.
    \3\ 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.
    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        Frequency of      Hours per
                                  reporting       reporting          report           Total
----------------------------------------------------------------------------------------------------------------
17 CFR 165.12................           4,000  1 response per   1 minute per              4,000  66.7 hours
                                                respondent.      response.                        total burden.
17 CFR 165.12................           2,000  1 response per   15 minutes per            2,000  500 hours total
                                                respondent.      response.                        burden.
----------------------------------------------------------------------------------------------------------------

    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?
5.......................  Have you read, seen, or heard anything about
                           SmartCheck.gov, a website 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 website 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 website 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:

[[Page 53127]]



----------------------------------------------------------------------------------------------------------------
                                                  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: August 8, 2016.
Christopher J. Kirkpatrick,
Secretary of the Commission.
[FR Doc. 2016-19127 Filed 8-10-16; 8:45 am]
BILLING CODE 6351-01-P



                                                                            Federal Register / Vol. 81, No. 155 / Thursday, August 11, 2016 / Notices                                           53125

                                                DEPARTMENT OF COMMERCE                                  the comments received in the Request                   information collection and its expected
                                                                                                        for Comment, focusing specifically on                  costs and burden.
                                                National Telecommunications and                         the potential benefits and challenges of               DATES: Comments must be submitted on
                                                Information Administration                              these technologies and what role, if any,              or before September 12, 2016.
                                                                                                        the U.S. Government should play in this                ADDRESSES: Comments regarding the
                                                Fostering the Advancement of the                        area. This workshop will help to inform
                                                Internet of Things Workshop                                                                                    burden estimated or any other aspect of
                                                                                                        the Department’s forthcoming issue-                    the information collection, including
                                                AGENCY:  National Telecommunications                    spotting, agenda-setting green paper on                suggestions for reducing the burden,
                                                and Information Administration, U.S.                    IoT.                                                   may be submitted directly to the Office
                                                Department of Commerce.                                    NTIA will post a detailed agenda on                 of Information and Regulatory Affairs
                                                ACTION: Notice of open meeting.                         its Web site, www.ntia.doc.gov/                        (OIRA) in OMB, within 30 days of the
                                                                                                        category/internet-things, prior to the                 notice’s publication, by email at
                                                SUMMARY:    The National                                meeting. The workshop will consist of                  OIRAsubmissions@omb.eop.gov. Please
                                                Telecommunications and Information                      a number of panels and speakers that                   identify the comments by OMB Control
                                                Administration (NTIA) will convene a                    will explore in more depth the obstacles               No. 3038–NEW. Please provide the
                                                workshop on behalf of the U.S.                          and opportunities raised by commenters                 Commodity Futures Trading
                                                Department of Commerce’s Internet                       on the federal government’s role in IoT                Commission (‘‘CFTC’’ or
                                                Policy Task Force and the Digital                       deployment. Agenda topics and format                   ‘‘Commission’’) with a copy of all
                                                Economy Leadership Team on Fostering                    are subject to change.                                 submitted comments at the address
                                                the Advancement of the Internet of                         The meeting is open to the public and               listed below. Please refer to OMB
                                                Things.                                                 the press. The meeting is physically                   Reference No. 3038–NEW, found on
                                                DATES: The workshop will be held on                     accessible to people with disabilities.                http://reginfo.gov. Comments may also
                                                September 1, 2016, from 9:00 a.m. to                    Requests for sign language                             be mailed to the Office of Information
                                                3:00 p.m., Eastern Daylight Time.                       interpretation or other auxiliary aids                 and Regulatory Affairs, Office of
                                                ADDRESSES: The workshop will be held                    should be directed to Travis Hall at                   Management and Budget, Attention:
                                                at the U.S. Patent and Trademark Office,                (202) 482–3522 or thall@ntia.doc.gov at                Desk Officer for the Commodity Futures
                                                600 Dulany Street, Alexandria, Virginia                 least seven (7) business days prior to the             Trading Commission, 725 17th Street
                                                22314. The location of the meeting is                   meeting. The meeting will also be                      NW., Washington, DC 20503, and to:
                                                subject to change. Please refer to NTIA’s               webcast. Requests for real-time                        Nisha Smalls, Office of Customer
                                                Web site, http://www.ntia.doc.gov/                      captioning of the webcast or other                     Education and Outreach, Commodity
                                                category/internet-things, for the most                  auxiliary aids should be directed to                   Futures Trading Commission, 1155 21st
                                                current information.                                    Travis Hall at (202) 482–3522 or thall@                Street NW., Washington, DC 20581; or
                                                FOR FURTHER INFORMATION CONTACT:
                                                                                                        ntia.doc.gov at least seven (7) business               through the Agency’s Web site at http://
                                                Travis Hall, National                                   days prior to the meeting. Please refer to             comments.cftc.gov. Follow the
                                                Telecommunications and Information                      NTIA’s Web site, http://www.ntia.doc.                  instructions for submitting comments
                                                Administration, U.S. Department of                      gov/category/internet-things, for the                  through the Web site.
                                                Commerce, 1401 Constitution Avenue                      most current information.                                 Comments may also be mailed to:
                                                NW., Room 4725, Washington, DC                            Dated: August 5, 2016.                               Christopher Kirkpatrick, Secretary of the
                                                20230; telephone (202) 482–3522; email                  Angela M. Simpson,                                     Commission, Commodity Futures
                                                thall@ntia.doc.gov. Please direct media                 Deputy Assistant Secretary, National
                                                                                                                                                               Trading Commission, Three Lafayette
                                                inquiries to NTIA’s Office of Public                    Telecommunications and Information                     Centre, 1155 21st Street NW.,
                                                Affairs, (202) 482–7002; email press@                   Administration.                                        Washington, DC 20581; or sent by hand
                                                ntia.doc.gov.                                           [FR Doc. 2016–19048 Filed 8–10–16; 8:45 am]            delivery/courier to the same address.
                                                                                                                                                                  A copy of the supporting statements
                                                SUPPLEMENTARY INFORMATION:                              BILLING CODE 3510–60–P
                                                                                                                                                               for the collection of information
                                                Recognizing the vital importance of the                                                                        discussed above may be obtained by
                                                Internet to U.S. innovation, prosperity,                                                                       visiting reginfo.gov. All comments must
                                                education, and civic and cultural life,                 COMMODITY FUTURES TRADING                              be submitted in English, or if not,
                                                the Department of Commerce has made                     COMMISSION                                             accompanied by an English translation.
                                                it a top priority to encourage growth of                                                                       Comments will be posted as received to
                                                the digital economy and ensure that the                 Agency Information Collection
                                                                                                        Activities Under OMB Review                            http://www.cftc.gov.
                                                Internet remains an open platform for                                                                          FOR FURTHER INFORMATION CONTACT:
                                                innovation and free expression. As part                 AGENCY: Commodity Futures Trading                      Nisha Smalls, Office of Customer
                                                of the Department’s Digital Economy                     Commission.                                            Education and Outreach, Commodity
                                                Agenda, the National                                    ACTION: Notice.                                        Futures Trading Commission, 1155 21st
                                                Telecommunications and Information                                                                             Street NW., Washington, DC 20581,
                                                Administration (NTIA) initiated an                      SUMMARY:   In compliance with the                      (202) 418–5895; FAX: (202) 418–5541;
                                                inquiry regarding the Internet of Things                Paperwork Reduction Act of 1995                        email: nsmalls@cftc.gov and refer to this
                                                (IoT) to review the current technological               (PRA), this notice announces that the                  Federal Register notice. A copy may
                                                and policy landscape, which included a                  Information Collection Request (ICR)                   also be obtained from this contact.
                                                Request for Comment on ‘‘The Benefits,                  abstracted below has been forwarded to                 SUPPLEMENTARY INFORMATION: The
sradovich on DSK3GMQ082PROD with NOTICES




                                                Challenges, and Potential Roles for the                 the Office of Management and Budget                    Commission’s Office of Customer
                                                Government in Fostering the                             (OMB) for review and comment. The                      Education and Outreach (OCEO)
                                                Advancement of the Internet of                          ICR describes the nature of the                        develops campaigns to change customer
                                                Things.’’ 1 This workshop will build on
                                                                                                                                                               behaviors, so that customers can better
                                                                                                        Things (Apr. 5, 2016) available at https://www.ntia.
                                                  1 Request for Comments on the Benefits,               doc.gov/federal-register-notice/2016/rfc-potential-
                                                                                                                                                               avoid fraud as defined under the
                                                Challenges, and Potential Roles for Government in       roles-government-fostering-advancement-internet-       Commodity Exchange Act. The OCEO
                                                Fostering the Advancement of the Internet of            of-things.                                             intends to survey the public by


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                                                53126                        Federal Register / Vol. 81, No. 155 / Thursday, August 11, 2016 / Notices

                                                identifying customers and determining                     correct respondents and questions to                    collection methods such as mall
                                                if the CFTC’s SmartCheckSM campaign                       determine if the CFTC’s SmartCheckSM                    intercepts. The online method also
                                                is helping them to identify, avoid, and                   campaign is helping customers identify,                 allows for a quicker turnaround for data
                                                report financial fraud.                                   avoid, and report financial fraud.                      collection. No other collection methods
                                                   Title: CFTC SmartCheck Annual                             The OCEO will use the information                    will be used.
                                                Campaign Impact Tracking Survey,                          collected in the survey to refine the
                                                                                                                                                                    Burden Statement: The screening
                                                (OMB Control No. 3038–NEW). This is                       methods used to inform the public
                                                a request for approval of a new                           about how to best detect and report                     questions will take about 1 minute to
                                                collection.                                               financial fraud. This will be done by                   complete. It is anticipated that 4,000
                                                   Abstract: In 2010, the Dodd-Frank                      creating a final summary report that                    people will be screened. The survey will
                                                Act 1 expanded the Commission’s                           includes key findings from the survey.                  take about 15 minutes. The cost of the
                                                authority to, among other matters                            Findings from the summary report                     screener survey will be approximately
                                                related to regulatory oversight, establish                will be used to directionally inform the                $3,125, which equates to $46.85 per
                                                funding of consumer education                             outreach efforts that the CFTC                          burden hour. 2,000 people will take the
                                                initiatives under its new Whistleblower                   undertakes concerning helping                           15 minute survey. The cost of the full
                                                authority.2 Under this new authority,                     customers avoid financial fraud.                        survey will be approximately $46,875,
                                                the Commission established the OCEO                          The survey will be administered using                which equates to $93.75 per burden
                                                to, among other efforts, survey the                       an online survey tool. The online                       hour. Based on these assumptions, the
                                                public regarding consumer education                       modality approach will allow                            total burden hours will be 566.7 hours.
                                                initiatives.3 This notice announces a                     presentation of test material to                        The Commission estimates the average
                                                public survey. This survey will include                   participants in a more convenient and                   burden of this collection of information
                                                screening questions to identify the                       time-efficient manner than other                        as follows:
                                                                                                     ESTIMATED ANNUAL REPORTING BURDEN HOURS
                                                                                        Annual          Frequency of reporting               Hours per report                   Total
                                                                                       reporting

                                                17 CFR 165.12 ................               4,000     1 response per respond-           1 minute per response ....                    4,000   66.7 hours total burden.
                                                                                                         ent.
                                                17 CFR 165.12 ................               2,000     1 response per respond-           15 minutes per response                       2,000   500 hours total burden.
                                                                                                         ent.



                                                  The proposed survey questions                           how likely are you to be involved in                    3   .......    Foreign currency trading (FOREX).
                                                appear below:                                             making decisions for your household?                    4   .......    Any type of futures or options.
                                                                                                                                                                  5   .......    None of these [Single Punch (SP)].
                                                CFTC SmartCheck Annual Campaign                                                                                   6   .......    Don’t know [SP].
                                                                                                          1   .......   Very likely.
                                                Impact Tracking Survey                                    2   .......   Somewhat likely.
                                                CFTC TARGET = Age 50–65; HH                               3   .......   Not too likely.                           Survey
                                                  income 60k+; Answers 1 or 2 for                         4   .......   Not at all likely.
                                                                                                                                                                  [Grid, SP Across]
                                                  question 1; Invests in 2 or more
                                                  products in question 2                                    2. Below is a list of financial products.               Please answer yes or no to each of the
                                                                                                          Please select all that you currently are                following questions.
                                                Screener
                                                                                                          invested in or have invested in.
                                                  1. When it comes to family and                                                                                                 Yes                        No
                                                personal investments like stocks,                         1 .......     Stocks or shares.                                         1                          2
                                                mutual funds, or other trading products,                  2 .......     Precious metals like gold or silver.

                                                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?
                                                5. .......   Have you read, seen, or heard anything about SmartCheck.gov, a website 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 website 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 website 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                 had not invested with before, how likely
sradovich on DSK3GMQ082PROD with NOTICES




                                                Rows]                                                     unlikely you are to complete the actions                are you to:
                                                                                                          using the scale below. If you were
                                                  Below are a number of actions that                      considering investing with someone you
                                                you may or may not be likely to

                                                  1 See Dodd-Frank Wall Street Reform and                 may be accessed at http://www.cftc.gov/                     2 See   7 U.S.C. 26.
                                                Consumer Protection Act, Public Law 111–203, 124          LawRegulation/DoddFrankAct/index.htm.                       3 See   17 CFR 165.12.
                                                Stat. 1376 (2010). The text of the Dodd-Frank Act



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                                                                                 Federal Register / Vol. 81, No. 155 / Thursday, August 11, 2016 / Notices                                                                53127

                                                              Very likely                    Somewhat likely                       Not likely or unlikely              Not too likely                       Not at all Likely

                                                                  1                                     2                                    3                               4                                     5

                                                                                                                 [SP]                                                     4 .......    Not at all likely.
                                                8. ......     Review performance history.
                                                9. ......     Talk to references and/or past cli-                   18. If you suspected an investment
                                                                ents.                                            you were aware of was fraudulent, how                    [MP; Randomize Leaving Last 1 at the
                                                10. ....      Confirm certifications and/or edu-                 likely would you be to report it to a                    End]
                                                                cation.                                          government financial agency such as the                    20. Which, if any, of the following do
                                                11. ....      Perform a general Internet search.                 U.S. Commodity Futures Trading                           you think are potential signs of
                                                12. ....      Check disciplinary history with an of-             Commission (CFTC) or the U.S.                            investment fraud? If the person selling
                                                                ficial financial regulator.                      Securities and Exchange Commission                       the investment . . .
                                                13. ....      Check licensing and/or registration                (SEC)?
                                                                status with an official financial reg-
                                                                ulator.                                                                                                   1 .......    said the investment has a guaran-
                                                                                                                 1   .......   Very likely.                                              teed rate of return.
                                                14. ....      Personally interview.                              2   .......   Somewhat likely.                           2 .......    said s/he has a special credential, so
                                                15. ....      Check job affiliations with an official            3   .......   Not too likely.                                           they can be trusted.
                                                                financial regulator.                             4   .......   Not at all likely.                         3 .......    said that many of your friends have
                                                16. ....      None of these/don’t know [SP].                                                                                             already invested in the opportunity.
                                                                                                                 [SP]                                                     4 .......    was willing to charge you half of the
                                                [SP]                                                                                                                                     regular commission.
                                                                                                                   19. If you became aware that an                        5 .......    said the opportunity was closing
                                                  17. Generally speaking, how                                    investment you were already a part of                                   soon, so it was important to act
                                                concerned are you about unknowingly                              was fraudulent, how likely would you                                    quickly.
                                                being part of a fraudulent investment?                           be to report it to a government financial                6 .......    None of these [SP].
                                                                                                                 agency such as the U.S. Commodity
                                                1   .......   Very concerned.                                    Futures Trading Commission (CFTC) or                     [Grid, SP Across. Randomize Grid
                                                2   .......   Somewhat concerned.                                the U.S. Securities and Exchange                         Rows]
                                                3   .......   Not too concerned.                                 Commission (SEC)?
                                                                                                                                                                            Below are a number of statements
                                                4   .......   Not at all concerned.                                                                                       with which you may or may not agree.
                                                                                                                 1 .......     Very likely.
                                                                                                                 2 .......     Somewhat likely.                           Please indicate how much you agree or
                                                                                                                 3 .......     Not too likely.                            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.



                                                (Authority: 44 U.S.C. 3501 et seq.)                              information under the provisions of the                     Type of Request: In existence without
                                                  Dated: August 8, 2016.                                         Paperwork Reduction Act.                                 OMB Control Number.
                                                                                                                                                                             Number of Respondents: 7650.
                                                Christopher J. Kirkpatrick,                                      DATES:Consideration will be given to all
                                                                                                                                                                             Responses per Respondent: 1.
                                                Secretary of the Commission.                                     comments received by September 12,
                                                                                                                                                                             Annual Responses: 7650.
                                                [FR Doc. 2016–19127 Filed 8–10–16; 8:45 am]                      2016.
                                                                                                                                                                             Average Burden per Response: 115
                                                BILLING CODE 6351–01–P
                                                                                                                 FOR FURTHER INFORMATION CONTACT:                 Fred    minutes.
                                                                                                                 Licari, 571–372–0493.                                       Annual Burden Hours: 2533 hours.
                                                                                                                                                                             Needs and Uses: The information
                                                DEPARTMENT OF DEFENSE                                            SUPPLEMENTARY INFORMATION:                               collection requirement is necessary to
                                                                                                                    Title, Associated Form and OMB                        administer a number of different
                                                Department of the Army
                                                                                                                 Number: Exchange Employee                                benefits and pay available to eligible
                                                [Docket ID USA–2016–HQ–0009]                                     Management and Pay System; Exchange                      Exchange associates, former associates
                                                                                                                 Form 1400–011 ‘‘Annuity Application’’,                   (retirees), their personal dependents,
sradovich on DSK3GMQ082PROD with NOTICES




                                                Submission for OMB Review;                                       Exchange From 1450–018 ‘‘Application                     beneficiaries, spouses, and ex-spouses.
                                                Comment Request                                                  for Payment of Survivor Annuity’’,                       This includes collecting data needed to
                                                ACTION:       Notice.                                            Exchange Form 1700–012 ‘‘Beneficiary                     provide and administer pay, salary and
                                                                                                                 Designation’’, Exchange Form 6650–007                    retirement funds/entitlements.
                                                SUMMARY:  The Department of Defense                              ‘‘Patient Health Questionnaire’’, Web-                      Affected Public: Individuals or
                                                has submitted to OMB for clearance, the                          based ‘‘Health/Benefit Enrollment’’;                     households and Federal Government.
                                                following proposal for collection of                             OMB Control Number: 0702–XXXX.                              Frequency: On occasion.


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Document Created: 2018-02-09 11:26:53
Document Modified: 2018-02-09 11:26:53
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
ActionNotice.
DatesComments must be submitted on or before September 12, 2016.
ContactNisha Smalls, Office of Customer Education and Outreach, Commodity Futures Trading Commission, 1155 21st Street NW., Washington, DC 20581, (202) 418-5895; FAX: (202) 418-5541; email: [email protected] and refer to this Federal Register notice. A copy may also be obtained from this contact.
FR Citation81 FR 53125 

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