82_FR_12988 82 FR 12944 - Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0103, Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports)

82 FR 12944 - Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0103, Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports)

COMMODITY FUTURES TRADING COMMISSION

Federal Register Volume 82, Issue 44 (March 8, 2017)

Page Range12944-12946
FR Document2017-04538

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is announcing an opportunity for public comment on the proposed renewal of the 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 and to allow 60 days for public comment. This notice solicits comments in connection with information collection requirements under certain rules and related forms (the ``final rules'') that the Commission adopted to enhance its identification of futures and swap market participants.

Federal Register, Volume 82 Issue 44 (Wednesday, March 8, 2017)
[Federal Register Volume 82, Number 44 (Wednesday, March 8, 2017)]
[Notices]
[Pages 12944-12946]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-04538]


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

COMMODITY FUTURES TRADING COMMISSION


Agency Information Collection Activities: Notice of Intent To 
Renew Collection 3038-0103, Ownership and Control Reports, Forms 102/
102S, 40/40S, and 71 (Trader and Account Identification Reports)

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 renewal of the 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 and to allow 60 days for public 
comment. This notice solicits comments in connection with information 
collection requirements under certain rules and related forms (the 
``final rules'') that the Commission adopted to enhance its 
identification of futures and swap market participants.

DATES: Comments must be submitted on or before May 8, 2017.

ADDRESSES: You may submit comments, identified by OMB Control No. 3038-
0103, 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: Joseph Otchin, Special Counsel, 
Division of Market Oversight, at 202-418-5623 or [email protected], and 
refer to OMB Control No 3038-0103.

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: Ownership and Control Reports, Forms 102/102S, 40/40S, and 
71 (Trader and Account Identification Reports) (OMB Control No. 3038-
0103). This is a request for extension of a currently approved 
information collection.
    Abstract: The final rules \1\ created new information collection 
requirements via Sec. Sec.  17.01, 18.04, 18.05, and 20.5. 
Specifically, Sec.  17.01 provides for the filing of Form 102A, Form 
102B and Form 71, as follows:
---------------------------------------------------------------------------

    \1\ See Commission, Final Rule: Ownership and Control Reports, 
Forms 102/102S, 40/40S, and 71, 78 FR 69178 (November 18, 2013). 
Terms used herein and not otherwise defined herein shall have the 
meaning assigned to such terms in the final rules or in the 
Commission's regulations.
---------------------------------------------------------------------------

     Pursuant to Sec.  17.01(a), futures commission merchants 
(``FCMs''), clearing members, and foreign brokers shall identify new 
special accounts to the Commission on Form 102A;
     pursuant to Sec.  17.01(b), clearing members shall 
identify volume threshold accounts to the Commission on Form 102B; and
     pursuant to Sec.  17.01(c), omnibus volume threshold 
account originators and omnibus reportable sub-account originators 
shall identify reportable sub-accounts to the Commission on Form 71 
when requested via a special call by the Commission or its designee.
    Additional reporting requirements arise from Sec.  18.04, which 
results in the collection of information via Form 40 from and regarding 
traders who own, hold, or control reportable positions; volume 
threshold account controllers; persons who own volume threshold 
accounts; reportable sub-account controllers; and persons who own 
reportable sub-accounts.
    Reporting requirements also arise from Sec.  20.5(a), which 
requires all reporting entities to submit Form 102S for swap 
counterparty or customer consolidated accounts with reportable 
positions. In addition, Sec.  20.5(b) requires every person subject to 
books or records under current Sec.  20.6 to complete a 40S filing 
after a special call upon such person by the Commission.
    In addition to the reporting requirements summarized above, Sec.  
18.05 imposes recordkeeping requirements upon: (1) Traders who own, 
hold, or control a reportable futures or options on futures position; 
(2) volume threshold account controllers; (3) persons who own volume 
threshold accounts; (4) reportable sub-account controllers; and (5) 
persons who own reportable sub-accounts.
    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;

[[Page 12945]]

     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.\2\
---------------------------------------------------------------------------

    \2\ 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 Commission estimates the burden of this 
collection of information as follows:

                                                                        Form 102A
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                        Number of        Annualized
                                                                        reporting        burden per      Total annual    Estimated wage  Annual industry
                         Type of respondent                            parties per    reporting party  industry burden        rate            costs
                                                                           year           (hours)          (hours)
--------------------------------------------------------------------------------------------------------------------------------------------------------
FCMs, clearing members, and foreign brokers........................             260              106           27,560           $70.07       $1,931,129
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                                        Form 102B
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                        Number of        Annualized
                                                                        reporting        burden per      Total annual    Estimated wage  Annual industry
                         Type of respondent                            parties per    reporting party  industry burden        rate            costs
                                                                           year           (hours)          (hours)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Clearing members...................................................             175              106           18,550           $70.07       $1,299,799
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                                         Form 71
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                        Number of      Annual burden     Total annual
                         Type of respondent                           responses per     per response   industry burden   Estimated wage  Annual industry
                                                                           year           (hours)          (hours)            rate            costs
--------------------------------------------------------------------------------------------------------------------------------------------------------
Originators of omnibus volume threshold accounts or omnibus                     762                8            6,096           $70.07         $427,147
 reportable sub-accounts...........................................
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                                         Form 40
                                                                [Arising from Form 102A]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                         Annualized
                                                                        Number of        burden per      Total annual    Estimated wage  Annual industry
                         Type of respondent                           responses per       response     industry burden        rate            costs
                                                                           year           (hours)          (hours)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Special account owners and controllers.............................           5,250                3           15,750           $70.07       $1,103,603
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                                         Form 40
                                                          [Arising from Form 102B and Form 71]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                         Annualized
                                                                        Number of        burden per      Total annual    Estimated wage  Annual industry
                         Type of respondent                           responses per       response     industry burden        rate            costs
                                                                           year           (hours)          (hours)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Volume threshold account controllers and owners, reportable sub-             18,920                3           56,760           $70.07       $3,977,173
 account controllers and owners....................................
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 12946]]


                                                                        Form 102S
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                        Number of        Annualized
                                                                        reporting        burden per      Total annual    Estimated wage  Annual industry
                         Type of respondent                            parties per    reporting party  industry burden        rate            costs
                                                                           year           (hours)          (hours)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Clearing members and swap dealers..................................              39              106            4,134           $70.07         $289,669
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                                        Form 40S
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                         Annualized
                                                                        Number of        burden per      Total annual    Estimated wage  Annual industry
                         Type of respondent                           responses per       response     industry burden        rate            costs
                                                                           year           (hours)          (hours)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Persons subject to books and records requirements under Sec.   20.6           2,508                3            7,524           $70.07         $527,207
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                           Sec.   18.05--Recordkeeping Burden
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                        Number of      Annual burden     Total annual
                         Type of respondent                           responses per     per response   industry burden   Estimated wage  Annual industry
                                                                           year           (hours)          (hours)            rate            costs
--------------------------------------------------------------------------------------------------------------------------------------------------------
Volume threshold account controllers and owners, reportable sub-                 53                5              265           $70.07          $18,569
 account controllers and owners, and traders who own, hold, or
 control reportable futures or option positions....................
--------------------------------------------------------------------------------------------------------------------------------------------------------

(Authority: 44 U.S.C. 3501 et seq.)

    Dated: March 3, 2017.
Robert N. Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2017-04538 Filed 3-7-17; 8:45 am]
 BILLING CODE 6351-01-P



                                                  12944                        Federal Register / Vol. 82, No. 44 / Wednesday, March 8, 2017 / Notices

                                                  monuments. National marine                              information and to allow 60 days for                  §§ 17.01, 18.04, 18.05, and 20.5.
                                                  sanctuaries protect our nation’s most                   public comment. This notice solicits                  Specifically, § 17.01 provides for the
                                                  vital coastal and marine natural and                    comments in connection with                           filing of Form 102A, Form 102B and
                                                  cultural resources, and through active                  information collection requirements                   Form 71, as follows:
                                                  research, management, and public                        under certain rules and related forms                    • Pursuant to § 17.01(a), futures
                                                  engagement, sustain healthy                             (the ‘‘final rules’’) that the Commission             commission merchants (‘‘FCMs’’),
                                                  environments that are the foundation for                adopted to enhance its identification of              clearing members, and foreign brokers
                                                  thriving communities and stable                         futures and swap market participants.                 shall identify new special accounts to
                                                  economies. One of the many ways                         DATES: Comments must be submitted on                  the Commission on Form 102A;
                                                  ONMS ensures public participation in                    or before May 8, 2017.                                   • pursuant to § 17.01(b), clearing
                                                  the designation and management of                                                                             members shall identify volume
                                                                                                          ADDRESSES: You may submit comments,
                                                  national marine sanctuaries is through                                                                        threshold accounts to the Commission
                                                                                                          identified by OMB Control No. 3038–                   on Form 102B; and
                                                  the formation of advisory councils. The                 0103, by any of the following methods:
                                                  Sanctuary System Business Advisory                                                                               • pursuant to § 17.01(c), omnibus
                                                                                                             • The Agency’s Web site, at http://                volume threshold account originators
                                                  Council (council) has been formed to                    comments.cftc.gov/. Follow the
                                                  provide advice and recommendations to                                                                         and omnibus reportable sub-account
                                                                                                          instructions for submitting comments                  originators shall identify reportable sub-
                                                  the Director regarding the relationship                 through the Web site.
                                                  of ONMS with the business community.                                                                          accounts to the Commission on Form 71
                                                                                                             • Mail: Christopher Kirkpatrick,                   when requested via a special call by the
                                                  Additional information on the council                   Secretary of the Commission,
                                                  can be found at http://                                                                                       Commission or its designee.
                                                                                                          Commodity Futures Trading                                Additional reporting requirements
                                                  sanctuaries.noaa.gov/management/ac/                     Commission, Three Lafayette Centre,                   arise from § 18.04, which results in the
                                                  welcome.html.                                           1155 21st Street NW., Washington, DC
                                                    Matters to be Considered: The                                                                               collection of information via Form 40
                                                                                                          20581.                                                from and regarding traders who own,
                                                  meeting will provide an opportunity for                    • Hand Delivery/Courier: Same as
                                                  council members to hear news from                                                                             hold, or control reportable positions;
                                                                                                          Mail above.                                           volume threshold account controllers;
                                                  across the National Marine Sanctuary                       • Federal eRulemaking Portal: http://              persons who own volume threshold
                                                  System and review and comment on                        www.regulations.gov/. Follow the                      accounts; reportable sub-account
                                                  program initiatives. For a complete                     instructions for submitting comments                  controllers; and persons who own
                                                  agenda, including times and topics,                     through the Portal.                                   reportable sub-accounts.
                                                  please visit http://sanctuaries.noaa.gov/                  Please submit your comments using                     Reporting requirements also arise
                                                  management/bac/meetings.html.                           only one method.                                      from § 20.5(a), which requires all
                                                     Authority: 16 U.S.C. Sections 1431, et seq.          FOR FURTHER INFORMATION CONTACT:                      reporting entities to submit Form 102S
                                                  (Federal Domestic Assistance Catalog                    Joseph Otchin, Special Counsel,                       for swap counterparty or customer
                                                  Number 11.429 Marine Sanctuary Program)                 Division of Market Oversight, at 202–                 consolidated accounts with reportable
                                                                                                          418–5623 or jotchin@cftc.gov, and refer               positions. In addition, § 20.5(b) requires
                                                    Dated: March 1, 2017.                                 to OMB Control No 3038–0103.                          every person subject to books or records
                                                  John Armor,                                                                                                   under current § 20.6 to complete a 40S
                                                                                                          SUPPLEMENTARY INFORMATION: Under the
                                                  Director, Office of National Marine                     PRA, Federal agencies must obtain                     filing after a special call upon such
                                                  Sanctuaries, National Ocean Service,                                                                          person by the Commission.
                                                                                                          approval from the Office of Management
                                                  National Oceanic and Atmospheric                                                                                 In addition to the reporting
                                                  Administration.                                         and Budget (OMB) for each collection of
                                                                                                          information they conduct or sponsor.                  requirements summarized above,
                                                  [FR Doc. 2017–04520 Filed 3–7–17; 8:45 am]                                                                    § 18.05 imposes recordkeeping
                                                                                                          ‘‘Collection of Information’’ is defined
                                                  BILLING CODE 3510–NK–P
                                                                                                          in 44 U.S.C. 3502(3) and 5 CFR 1320.3                 requirements upon: (1) Traders who
                                                                                                          and includes agency requests or                       own, hold, or control a reportable
                                                                                                          requirements that members of the public               futures or options on futures position;
                                                  COMMODITY FUTURES TRADING                               submit reports, keep records, or provide              (2) volume threshold account
                                                  COMMISSION                                              information to a third party. Section                 controllers; (3) persons who own
                                                                                                          3506(c)(2)(A) of the PRA, 44 U.S.C.                   volume threshold accounts; (4)
                                                  Agency Information Collection                                                                                 reportable sub-account controllers; and
                                                  Activities: Notice of Intent To Renew                   3506(c)(2)(A), requires Federal agencies
                                                                                                                                                                (5) persons who own reportable sub-
                                                  Collection 3038–0103, Ownership and                     to provide a 60-day notice in the
                                                                                                                                                                accounts.
                                                  Control Reports, Forms 102/102S, 40/                    Federal Register concerning each
                                                                                                                                                                   With respect to the collection of
                                                  40S, and 71 (Trader and Account                         proposed collection of information
                                                                                                                                                                information, the CFTC invites
                                                  Identification Reports)                                 before submitting the collection to OMB
                                                                                                                                                                comments on:
                                                                                                          for approval. To comply with this                        • Whether the proposed collection of
                                                  AGENCY: Commodity Futures Trading                       requirement, the CFTC is publishing                   information is necessary for the proper
                                                  Commission.                                             notice of the proposed collection of                  performance of the functions of the
                                                  ACTION: Notice.                                         information listed below.                             Commission, including whether the
                                                                                                             Title: Ownership and Control Reports,              information will have a practical use;
                                                  SUMMARY:    The Commodity Futures                       Forms 102/102S, 40/40S, and 71 (Trader
                                                  Trading Commission (‘‘CFTC’’ or                                                                                  • The accuracy of the Commission’s
                                                                                                          and Account Identification Reports)                   estimate of the burden of the proposed
                                                  ‘‘Commission’’) is announcing an
mstockstill on DSK3G9T082PROD with NOTICES




                                                                                                          (OMB Control No. 3038–0103). This is                  collection of information, including the
                                                  opportunity for public comment on the                   a request for extension of a currently
                                                  proposed renewal of the collection of                                                                         validity of the methodology and
                                                                                                          approved information collection.                      assumptions used;
                                                  certain information by the agency.                         Abstract: The final rules 1 created new
                                                  Under the Paperwork Reduction Act                       information collection requirements via               78 FR 69178 (November 18, 2013). Terms used
                                                  (‘‘PRA’’), Federal agencies are required                                                                      herein and not otherwise defined herein shall have
                                                  to publish notice in the Federal Register                 1 See Commission, Final Rule: Ownership and         the meaning assigned to such terms in the final
                                                  concerning each proposed collection of                  Control Reports, Forms 102/102S, 40/40S, and 71,      rules or in the Commission’s regulations.



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                                                                                     Federal Register / Vol. 82, No. 44 / Wednesday, March 8, 2017 / Notices                                                        12945

                                                    • Ways to enhance the quality,                                   www.cftc.gov. You should submit only                       from http://www.cftc.gov that it may
                                                  usefulness, and clarity of the                                     information that you wish to make                          deem to be inappropriate for
                                                  information to be collected; and                                   available publicly. If you wish the                        publication, such as obscene language.
                                                    • Ways to minimize the burden of                                 Commission to consider information                         All submissions that have been redacted
                                                  collection of information on those who                             that you believe is exempt from                            or removed that contain comments on
                                                  are to respond, including through the                              disclosure under the Freedom of                            the merits of the Information Collection
                                                  use of appropriate automated electronic,                           Information Act, a petition for                            Request will be retained in the public
                                                  mechanical, or other technological                                 confidential treatment of the exempt                       comment file and will be considered as
                                                  collection techniques or other forms of                            information may be submitted according                     required under the Administrative
                                                  information technology; e.g., permitting                           to the procedures established in § 145.9                   Procedure Act and other applicable
                                                  electronic submission of responses.                                of the Commission’s regulations.2                          laws, and may be accessible under the
                                                    All comments must be submitted in                                  The Commission reserves the right,                       Freedom of Information Act.
                                                  English, or if not, accompanied by an                              but shall have no obligation, to review,                      Burden Statement: The Commission
                                                  English translation. Comments will be                              pre-screen, filter, redact, refuse or                      estimates the burden of this collection
                                                  posted as received to http://                                      remove any or all of your submission                       of information as follows:

                                                                                                                                           FORM 102A
                                                                                                                                                             Annualized
                                                                                                                                         Number of                            Total annual
                                                                                                                                                             burden per
                                                                                                                                          reporting                             industry           Estimated      Annual
                                                                             Type of respondent                                                               reporting
                                                                                                                                         parties per                             burden            wage rate   industry costs
                                                                                                                                                                party
                                                                                                                                            year                                 (hours)
                                                                                                                                                               (hours)

                                                  FCMs, clearing members, and foreign brokers ...................                           260                    106           27,560             $70.07      $1,931,129


                                                                                                                                           FORM 102B
                                                                                                                                                             Annualized
                                                                                                                                         Number of                            Total annual
                                                                                                                                                             burden per
                                                                                                                                          reporting                             industry           Estimated      Annual
                                                                             Type of respondent                                                               reporting
                                                                                                                                         parties per                             burden            wage rate   industry costs
                                                                                                                                                                party
                                                                                                                                            year                                 (hours)
                                                                                                                                                               (hours)

                                                  Clearing members ................................................................         175                    106           18,550             $70.07      $1,299,799


                                                                                                                                             FORM 71
                                                                                                                                                                              Total annual
                                                                                                                                         Number of         Annual burden        industry           Estimated      Annual
                                                                             Type of respondent                                        responses per       per response          burden            wage rate   industry costs
                                                                                                                                            year              (hours)            (hours)

                                                  Originators of omnibus volume threshold accounts or om-
                                                    nibus reportable sub-accounts .........................................                 762                     8             6,096             $70.07       $427,147


                                                                                                                                              FORM 40
                                                                                                                                      [Arising from Form 102A]

                                                                                                                                                             Annualized       Total annual
                                                                                                                                         Number of           burden per         industry           Estimated      Annual
                                                                             Type of respondent                                        responses per          response           burden            wage rate   industry costs
                                                                                                                                            year               (hours)           (hours)

                                                  Special account owners and controllers ..............................                    5,250                    3            15,750             $70.07      $1,103,603


                                                                                                                                         FORM 40
                                                                                                                           [Arising from Form 102B and Form 71]

                                                                                                                                                             Annualized       Total annual
                                                                                                                                         Number of           burden per         industry           Estimated      Annual
                                                                             Type of respondent                                        responses per          response           burden            wage rate   industry costs
                                                                                                                                            year
mstockstill on DSK3G9T082PROD with NOTICES




                                                                                                                                                               (hours)           (hours)

                                                  Volume threshold account controllers and owners, report-
                                                    able sub-account controllers and owners ........................                      18,920                    3            56,760             $70.07      $3,977,173




                                                    2 17   CFR 145.9.



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                                                  12946                                  Federal Register / Vol. 82, No. 44 / Wednesday, March 8, 2017 / Notices

                                                                                                                                                 FORM 102S
                                                                                                                                                                   Annualized
                                                                                                                                               Number of                            Total annual
                                                                                                                                                                   burden per
                                                                                                                                                reporting                             industry           Estimated        Annual
                                                                               Type of respondent                                                                   reporting
                                                                                                                                               parties per                             burden            wage rate     industry costs
                                                                                                                                                                      party
                                                                                                                                                  year                                 (hours)
                                                                                                                                                                     (hours)

                                                  Clearing members and swap dealers ..................................                             39                    106            4,134             $70.07          $289,669


                                                                                                                                                  FORM 40S
                                                                                                                                                                   Annualized       Total annual
                                                                                                                                                Number of          burden per         industry           Estimated        Annual
                                                                               Type of respondent                                             responses per         response           burden            wage rate     industry costs
                                                                                                                                                   year              (hours)           (hours)

                                                  Persons subject to books and records requirements under
                                                    § 20.6 ................................................................................      2,508                   3              7,524             $70.07          $527,207


                                                                                                                               § 18.05—RECORDKEEPING BURDEN
                                                                                                                                                                                    Total annual
                                                                                                                                                Number of        Annual burden        industry           Estimated        Annual
                                                                               Type of respondent                                             responses per      per response          burden            wage rate     industry costs
                                                                                                                                                   year             (hours)            (hours)

                                                  Volume threshold account controllers and owners, report-
                                                    able sub-account controllers and owners, and traders
                                                    who own, hold, or control reportable futures or option
                                                    positions ...........................................................................          53                    5               265              $70.07          $18,569



                                                  (Authority: 44 U.S.C. 3501 et seq.)                                       DEPARTMENT OF DEFENSE                                     Facsimile: (937) 255–3733; Email:
                                                    Dated: March 3, 2017.                                                                                                             afmclo.jaz.tech@us.af.mil.
                                                                                                                            Department of the Air Force
                                                  Robert N. Sidman,                                                                                                                   SUPPLEMENTARY INFORMATION:     The
                                                  Deputy Secretary of the Commission.                                       Notice of Intent To Grant [An                             Department of the Air Force intends to
                                                  [FR Doc. 2017–04538 Filed 3–7–17; 8:45 am]                                Exclusive] [A Partially Exclusive]                        grant the exclusive patent license
                                                  BILLING CODE 6351–01–P                                                    Patent License                                            agreement for the invention described
                                                                                                                                                                                      in:
                                                                                                                            AGENCY: Department of the Air Force,
                                                                                                                            Department of Defense.                                    —U.S. Patent Application Serial No. 62/
                                                  COMMODITY FUTURES TRADING
                                                                                                                            ACTION: Notice of intent.                                  403,774, filed 4 October 2016.
                                                  COMMISSION
                                                                                                                                                                                      The Department of the Air Force may
                                                                                                                            SUMMARY:   Pursuant to the Bayh-Dole Act
                                                  Sunshine Act Meetings                                                                                                               grant the prospective license unless a
                                                                                                                            and implementing regulations, the
                                                                                                                            Department of the Air Force hereby                        timely objection is received that
                                                  FEDERAL REGISTER CITATION OF PREVIOUS
                                                                                                                            gives notice of its intent to grant an                    sufficiently shows the grant of the
                                                  ANNOUNCEMENT: 82 FR 12348, March 2,                                                                                                 license would be inconsistent with the
                                                                                                                            exclusive patent license agreement to SP
                                                  2017.                                                                     Global, Incorporated, a corporation of                    Bayh-Dole Act or implementing
                                                  PREVIOUSLY ANNOUNCED TIME AND DATE OF                                     the State of Virginia, having a place of                  regulations. A competing application for
                                                  THE MEETING: 11:00 a.m., Thursday,                                        business at 14800 Conference Center                       a patent license agreement, completed
                                                  March 9, 2017.                                                            Drive, Suite 300, Chantilly, VA 20151.                    in compliance with 37 CFR 404.8 and
                                                                                                                            DATES: Written objections must be filed                   received by the Air Force within the
                                                  CHANGES IN THE MEETING:                    The meeting                    no later than fifteen (15) calendar days                  period for timely objections, will be
                                                  has been cancelled.                                                       after the date of publication of this                     treated as an objection and may be
                                                  CONTACT PERSON FOR MORE INFORMATION:                                      Notice.                                                   considered as an alternative to the
                                                  Christopher Kirkpatrick, 202–418–5964.                                                                                              proposed license.
                                                                                                                            ADDRESSES:   Submit written objections to
                                                  Christopher J. Kirkpatrick,                                               the Air Force Materiel Command Law                        Anh Trinh,
                                                                                                                            Office, AFMCLO/JAZ, 2240 B Street,                        Air Force Federal Register Liaison Officer.
                                                  Secretary of the Commission.
                                                                                                                            Room 260, Wright-Patterson AFB, OH                        [FR Doc. 2017–04512 Filed 3–7–17; 8:45 am]
                                                  [FR Doc. 2017–04594 Filed 3–6–17; 11:15 am]
                                                                                                                            45433–7109; Facsimile: (937) 255–3733;
mstockstill on DSK3G9T082PROD with NOTICES




                                                                                                                                                                                      BILLING CODE 5001–10–P
                                                  BILLING CODE 6351–01–P                                                    or Email: afmclo.jaz.tech@us.af.mil.
                                                                                                                            Include Docket No. AFD–1523 in the
                                                                                                                            subject line of the message.
                                                                                                                            FOR FURTHER INFORMATION CONTACT: Air
                                                                                                                            Force Materiel Command Law Office,
                                                                                                                            AFMCLO/JAZ, 2240 B Street, Rm. 260,
                                                                                                                            Wright-Patterson AFB, OH 45433–7109;


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Document Created: 2017-03-08 05:06:34
Document Modified: 2017-03-08 05:06:34
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 May 8, 2017.
ContactJoseph Otchin, Special Counsel, Division of Market Oversight, at 202-418-5623 or [email protected], and refer to OMB Control No 3038-0103.
FR Citation82 FR 12944 

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