82 FR 19663 - Agency Information Collection Activities: Proposed Collection Revision, Comment Request: Adoption of Revised Registration Form 8-R and Cancellation of Form 3-R
COMMODITY FUTURES TRADING COMMISSION Federal Register Volume 82, Issue 81 (April 28, 2017)
Federal Register Volume 82, Issue 81 (April 28, 2017)
| Page Range | 19663-19665 | |
| FR Document | 2017-08559 |
[Federal Register Volume 82, Number 81 (Friday, April 28, 2017)] [Notices] [Pages 19663-19665] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-08559] ======================================================================= ----------------------------------------------------------------------- COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Proposed Collection Revision, Comment Request: Adoption of Revised Registration Form 8-R and Cancellation of Form 3-R AGENCY: Commodity Futures Trading Commission. ACTION: Notice. ----------------------------------------------------------------------- SUMMARY: The Commodity Futures Trading Commission (``CFTC'' or the ``Commission'') is announcing an opportunity for public comment on the proposed revision to the collection of certain information by the Commission. Under the Paperwork Reduction Act (``PRA''), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information and to allow 60 days for public comment. The Commission revised its Form 8-R, the application form that individuals use to register with the Commission or to be listed as a principal. This notice solicits comments on the PRA implications of the revisions to Form 8-R, including comments that address the burdens associated with the modified information collection requirements of the revised Form 8-R. Additionally, this notice also solicits comments on the PRA implications of reassigning the burdens associated with the information collections requirements of Commission Form 3-R, which is no longer used, to Commission Forms 7-R and 8-R. DATES: Comments must be submitted on or before June 27, 2017. ADDRESSES: You may submit comments, identified by ``OMB control numbers 3038-0023 and 3038-0072; Adoption of Revised Registration Form 8-R and Cancellation of Form 3-R,'' by any of the following methods:The Commission's Web site, via its Comments Online process 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. 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 Regulation 145.9.\1\ --------------------------------------------------------------------------- \1\ 17 CFR 145.9. --------------------------------------------------------------------------- The Commission reserves the right, but shall have no obligation, to review, pre-screen, filter, redact, refuse or remove any or all of your submission from http://www.cftc.gov that it may deem to be inappropriate for publication, such as obscene language. All submissions that have been redacted or removed that contain comments on the merits of the information collection request will be retained in the public comment file and will be considered as required under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. FOR FURTHER INFORMATION CONTACT: Laura Gardy, Associate Director, (202) 418-7645, [email protected]; or August A. Imholtz III, Special Counsel, (202) 418-5140, [email protected], Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission, 1155 21st Street NW., Washington, DC 20581. SUPPLEMENTARY INFORMATION: Under the PRA, Federal agencies must obtain approval from the Office of Management and Budget (``OMB'') for each collection of information they 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 revision to the collections of information listed below. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB number. Titles: Registration Under the Commodity Exchange Act (OMB control number 3038-0023); Registration of Swap Dealers and Major Swap Participants (OMB control number 3038-0072). This is a request for extension and revision of these currently approved information collections. Abstract: The Commission recently revised its Form 8-R, the application form that individuals must use to register with the Commission as an associated person, floor broker, or floor trader, or to be listed as a principal. The collections of information related to Form 8-R were previously approved by OMB in accordance with the PRA and assigned OMB control numbers 3038-0023 and 3038-0072. Additionally, the Commission no longer requires individuals and entities to use Commission Form 3-R to update their registration information, which now can be updated directly on Forms 7-R or 8-R. The Commission therefore is reassigning to Forms 7-R and 8-R the information collection burdens previously associated with Commission Form 3-R. The collection of information related to Form 3-R was previously approved by OMB in accordance with the PRA and assigned OMB control number 3038-0023. 1. Form 8-R Revision The revised Form 8-R contains several changes that increase the existing information collection burden, currently 0.8 hours, associated with Form 8-R. The Commission estimates that the changes, which are discussed below, when considered together in aggregate add a total of 0.1 burden hours to the information collection burdens associated with Form 8-R. [[Page 19664]] First, in the ``Fingerprint Card Information'' section, revised Form 8-R adds two new questions. One new question addresses new requirements and exemptions thereto contained in Commission Regulation 3.21(e) applicable to non-U.S. persons. The other new question addresses the fingerprinting requirement exception for certain outside directors of registered firms. Second, in the section titled ``Disciplinary Information--Regulatory Disclosures,'' a new question was added to existing Question E. Among other things, Question E inquires whether the applicant (or an entity of which the applicant was a principal) violated, or aided and abetted the violation of, any investment-related statutes or regulations, a potential statutory basis for refusing or conditioning registration. The new question directs the applicant to disclose whether he or she has ever been found to have ``failed to supervise another person's activities under any investment- related statute or regulation.'' Third, in the section titled ``Disciplinary Information--Financial Disclosures,'' the Commission revised Question J. Prior to the revision, Question J asked whether the applicant has ``currently failed to comply with any order to pay any futures-related civil monetary penalties, restitution amounts, disgorgement amounts, reparation amounts or arbitration awards.'' As revised, Question J now inquires whether the applicant ``failed to pay any arbitration awards involving CFTC-regulated products, CFTC civil monetary penalties, CFTC restitution amounts, CFTC disgorgement amounts, or CFTC reparation amounts.'' The revised Form 8-R also contains several changes that do not alter the information collection burdens associated with Form 8-R. First, the revised Form 8-R combines into a single form two separate, existing versions of the Form 8-R, the Form 8-R ``Individual Application'' and the Form 8-R ``Floor Trader Order Enterer Individual Application,'' both of which were previously approved by OMB. In the section titled ``Sponsor Information and Registration Categories,'' the revised Form 8-R adds ``floor trader order enterer'' as a new category of persons that can be associated with a sponsor. Also in connection with this change, the revised Form 8-R includes two newly defined terms: ``entity floor trader'' and ``floor trader order enterer.'' Second, in the section titled ``Principal Information,'' the prior version of Form 8-R contained a blank space in which an applicant entered a title. In the revised Form 8-R, the space is replaced with a list of available titles for applicants to choose from. Third, NFA is simplifying the process by which it requests supplemental information and documentation regarding the applicant's criminal, regulatory or financial disclosures. The prior version of Form 8-R requested that applicants provide a written explanation of the facts and circumstances regarding any such disclosures. Applicants were also separately requested to provide NFA with copies of pertinent documents associated with each disclosure. To consolidate and modernize this process, the revised Form 8-R allows applicants to complete a separate ``Disclosure Matter Page'' for each matter, instance or event requiring disclosure and to simultaneously upload all pertinent documents associated with each disclosure. The Disclosure Matter Page provides applicants with an efficient and effective method of supplying the supplemental information and documentation that NFA requests in the normal course whenever an applicant responds affirmatively to any of the questions regarding criminal, regulatory or financial disclosures. Lastly, the revised Form 8-R contains numerous changes to the language, formatting and organization of Form 8-R, all of which-- individually and collectively--do not alter the information collection burdens associated with Form 8-R. The only changes to Form 8-R that affect the information collection burdens associated with the form are those discussed above. 2. Cancellation of Form 3-R Commission Regulations 3.11 and 3.31 historically required entities and individuals to use Commission Form 3-R to update or correct certain types of information that originally was supplied on Commission Forms 7-R or 8-R, the registration forms for entities and individuals respectively. Regulations 3.11 and 3.31 were amended in 2012 to reflect a new practice whereby Forms 7-R and 8-R could be directly updated online, and the requirement to use Form 3-R for updates, or for any other purpose, was deleted from the Commission rules. At that time, however, the Commission did not reassign to Forms 7-R and 8-R the information collection burden associated with the Form 3-R. The Commission is doing so now. The information collection burden associated with Form 3-R is 0.1 hours. In reassigning that burden to Forms 7-R and 8-R, the Commission believes that it is appropriate to adopt a conservative approach and assign an additional 0.1 hours each to the Form 7-R and 8-R. Accordingly, by virtue of cancelling Form 3-R, and reassigning to Forms 7-R and 8-R the information collection burdens associated with Form 3- R, the information collections burdens for Forms 7-R and 8-R each will increase by 0.1 hours. The reassignment of the information collection burden from Form 3-R to Forms 7-R and 8-R reallocates the information collection burdens within OMB control number 3038-0023, and does not increase or decrease the total information collection burden under that control number. 3. Invitation to Comment With respect to the information collections discussed above, the CFTC invites comments on: Whether the proposed revision to the 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 revision to the collection of information, including the validity of the methodology and assumptions used; Ways to enhance the quality, usefulness, and clarity of the information to be collected; and Ways to minimize the burden of collection of information on those who are to respond, including through the further use of appropriate automated electronic, mechanical, or other technological collection techniques or other forms of information technology; e.g., permitting electronic submission of responses. Burden Statement: As explained above, the Commission believes that the revisions to Form 8-R increase the information collection burdens associated with that Form under OMB control numbers 3038-0023 and 3038- 0072. Additionally, the Commission believes that reassigning to Forms 7-R and 8-R the information collection burdens formerly associated with Commission Form 3-R reallocates the information collection burdens within OMB control number 3038-0023, and therefore does not increase or decrease the total information collection burden under that control number. The Commission estimates the burden of this collection of information under OMB control number 3038-0023 to be: Respondents/Affected Entities: (1) Users of Form 7-R, specifically futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators, floor trader firms, and [[Page 19665]] leverage transaction merchants; and (2) users of Form 8-R, specifically (i) associated persons of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators, and leverage transaction merchants; floor brokers; (ii) principals of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators, floor trader firms, or leverage transaction merchants; (iii) floor brokers; (iv) floor traders; and (v) floor trader order enterers. Estimated Number of Respondents: 78,109. Estimated Total Annual Burden on Respondents: 7,210 hours. Frequency of Collection: Periodically. There are no capital costs or operating and maintenance costs associated with this collection. The Commission estimates the burden of this collection of information under OMB control number 3038-0072 to be: Respondents/Affected Entities: (1) Users of Form 7-R, specifically swap dealers and major swap participants; and (2) users of Form 8-R, specifically principals of swap dealers and of major swap participants. Estimated Number of Respondents: 770. Estimated Total Annual Burden on Respondents: 648 hours. Frequency of Collection: Periodically. There are no capital costs or operating and maintenance costs associated with this collection. Authority: 44 U.S.C. 3501 et seq. Dated: April 24, 2017. Robert N. Sidman, Deputy Secretary of the Commission. [FR Doc. 2017-08559 Filed 4-27-17; 8:45 am] BILLING CODE 6351-01-P
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Agency 3038–0023 and 3038–0072; Adoption of and Budget (‘‘OMB’’) for each collection
NSN(s)—Product Name(s): 1430–01–133– Revised Registration Form 8–R and of information they conduct or sponsor.
8435—Bag, Storage Cancellation of Form 3–R,’’ by any of ‘‘Collection of Information’’ is defined
Mandatory Source(s) of Supply: Huntsville the following methods: in 44 U.S.C. 3502(3) and 5 CFR 1320.3
Rehabilitation Foundation, Huntsville, • The Commission’s Web site, via its and includes agency requests or
AL
Comments Online process at http:// requirements that members of the public
Contracting Activity: Defense Logistics
Agency Land and Maritime comments.cftc.gov/. Follow the submit reports, keep records, or provide
instructions for submitting comments information to a third party. Section
Service through the Web site. 3506(c)(2)(A) of the PRA, 44 U.S.C.
Service Type: Customization & Distribution • Mail: Christopher Kirkpatrick, 3506(c)(2)(A), requires Federal agencies
of NRPM Service Department of the Secretary of the Commission, to provide a 60-day notice in the
Navy, FISC Norfolk: Detachment 1322 Commodity Futures Trading Federal Register concerning each
Patterson Ave. SE. Washington Navy Commission, Three Lafayette Centre, proposed collection of information
Yard, Washington DC
Mandatory Source(s) of Supply: Industries for 1155 21st Street NW., Washington, DC before submitting the collection to OMB
the Blind, Inc., West Allis, WI 20581. for approval. To comply with this
Contracting Activity: Dept of Defense/ • Hand Delivery/Courier: Same as requirement, the CFTC is publishing
Department of the Navy Mail above. notice of the proposed revision to the
• Federal eRulemaking Portal: http:// collections of information listed below.
Amy B. Jensen,
www.regulations.gov/. Follow the An agency may not conduct or sponsor,
Director, Business Operations. instructions for submitting comments and a person is not required to respond
[FR Doc. 2017–08613 Filed 4–27–17; 8:45 am] through the Portal. to, a collection of information unless it
BILLING CODE 6353–01–P Please submit your comments using displays a currently valid OMB number.
only one method. Titles: Registration Under the
All comments must be submitted in Commodity Exchange Act (OMB control
COMMODITY FUTURES TRADING English, or if not, accompanied by an number 3038–0023); Registration of
COMMISSION English translation. Comments will be Swap Dealers and Major Swap
posted as received to http:// Participants (OMB control number
Agency Information Collection www.cftc.gov. You should submit only 3038–0072). This is a request for
Activities: Proposed Collection information that you wish to make extension and revision of these
Revision, Comment Request: Adoption available publicly. If you wish the currently approved information
of Revised Registration Form 8–R and Commission to consider information collections.
Cancellation of Form 3–R that you believe is exempt from Abstract: The Commission recently
AGENCY: Commodity Futures Trading disclosure under the Freedom of revised its Form 8–R, the application
Commission. Information Act, a petition for form that individuals must use to
ACTION: Notice.
confidential treatment of the exempt register with the Commission as an
information may be submitted according associated person, floor broker, or floor
SUMMARY: The Commodity Futures to the procedures established in trader, or to be listed as a principal. The
Trading Commission (‘‘CFTC’’ or the Regulation 145.9.1 collections of information related to
‘‘Commission’’) is announcing an The Commission reserves the right, Form 8–R were previously approved by
opportunity for public comment on the but shall have no obligation, to review, OMB in accordance with the PRA and
proposed revision to the collection of pre-screen, filter, redact, refuse or assigned OMB control numbers 3038–
certain information by the Commission. remove any or all of your submission 0023 and 3038–0072. Additionally, the
Under the Paperwork Reduction Act from http://www.cftc.gov that it may Commission no longer requires
(‘‘PRA’’), Federal agencies are required deem to be inappropriate for individuals and entities to use
to publish notice in the Federal Register publication, such as obscene language. Commission Form 3–R to update their
concerning each proposed collection of All submissions that have been redacted registration information, which now can
information and to allow 60 days for or removed that contain comments on be updated directly on Forms 7–R or 8–
public comment. The Commission the merits of the information collection R. The Commission therefore is
revised its Form 8–R, the application request will be retained in the public reassigning to Forms 7–R and 8–R the
form that individuals use to register comment file and will be considered as information collection burdens
with the Commission or to be listed as required under the Administrative previously associated with Commission
a principal. This notice solicits Procedure Act and other applicable Form 3–R. The collection of information
comments on the PRA implications of laws, and may be accessible under the related to Form 3–R was previously
the revisions to Form 8–R, including Freedom of Information Act. approved by OMB in accordance with
comments that address the burdens FOR FURTHER INFORMATION CONTACT: the PRA and assigned OMB control
associated with the modified Laura Gardy, Associate Director, (202) number 3038–0023.
information collection requirements of 418–7645, lgardy@cftc.gov; or August A.
the revised Form 8–R. Additionally, this Imholtz III, Special Counsel, (202) 418– 1. Form 8–R Revision
notice also solicits comments on the 5140, aimholtz@cftc.gov, Division of The revised Form 8–R contains
PRA implications of reassigning the Swap Dealer and Intermediary several changes that increase the
asabaliauskas on DSK3SPTVN1PROD with NOTICES
burdens associated with the information Oversight, Commodity Futures Trading existing information collection burden,
collections requirements of Commission Commission, 1155 21st Street NW., currently 0.8 hours, associated with
Form 3–R, which is no longer used, to Washington, DC 20581. Form 8–R. The Commission estimates
Commission Forms 7–R and 8–R. SUPPLEMENTARY INFORMATION: Under the that the changes, which are discussed
DATES: Comments must be submitted on PRA, Federal agencies must obtain below, when considered together in
or before June 27, 2017. approval from the Office of Management aggregate add a total of 0.1 burden hours
ADDRESSES: You may submit comments, to the information collection burdens
identified by ‘‘OMB control numbers 1 17 CFR 145.9. associated with Form 8–R.
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leverage transaction merchants; and (2) CONTACT PERSON FOR MORE INFORMATION: major swap participant, floor trader or
users of Form 8–R, specifically (i) Christopher Kirkpatrick, 202–418–5964. leverage transaction merchant also must
associated persons of futures file a completed Form 8–R.3 Lastly,
Natise Allen,
commission merchants, retail foreign individuals that enter orders for floor
exchange dealers, introducing brokers, Executive Assistant. trader firms must file the Form 8–R as
commodity trading advisors, commodity [FR Doc. 2017–08684 Filed 4–26–17; 11:15 am] well.4 Individual applicants have been
pool operators, and leverage transaction BILLING CODE 6351–01–P required to use Form 8–R since 1977.5
merchants; floor brokers; (ii) principals Form 8–R requests information about
of futures commission merchants, retail the applicant that can be used to assess
foreign exchange dealers, introducing COMMODITY FUTURES TRADING the applicant’s fitness to engage in
brokers, commodity trading advisors, COMMISSION business as a derivatives professional.
commodity pool operators, floor trader Form 8–R is a Commission form
Adoption of Revised Registration Form maintained and used primarily by the
firms, or leverage transaction merchants; 8–R
(iii) floor brokers; (iv) floor traders; and NFA. NFA is currently the only
(v) floor trader order enterers. AGENCY: Commodity Futures Trading registered futures association authorized
Estimated Number of Respondents: Commission. by the Commission in accordance with
78,109. ACTION: Notice.
Section 17 of the Commodity Exchange
Estimated Total Annual Burden on Act (‘‘Act’’).6 Pursuant to Section 17(o)
Respondents: 7,210 hours. SUMMARY: The Commodity Futures of the Act,7 Regulation 3.2,8 and a series
Frequency of Collection: Periodically. Trading Commission (the of orders, the Commission delegated to
There are no capital costs or operating ‘‘Commission’’ or ‘‘CFTC’’) is revising NFA certain registration functions
and maintenance costs associated with its Form 8–R, the application form that including, among other things, the
this collection. individuals must use to register with the processing of all Form 8–R filings.9
The Commission estimates the burden Commission as an associated person of Since the first delegation to NFA in
of this collection of information under a registrant, floor broker, or floor trader, 1984, NFA has developed substantial
OMB control number 3038–0072 to be: or to be listed as a principal of a expertise in registration matters,
Respondents/Affected Entities: (1) registrant (collectively, ‘‘applicants’’). including reviewing and processing
Users of Form 7–R, specifically swap DATES: Effective Date: The new, revised
completed Forms 8–R. In 2002, with the
dealers and major swap participants; version of Form 8–R shall be effective approval of the Commission, NFA
and (2) users of Form 8–R, specifically (and the prior version shall cease to be transitioned from a paper-based
principals of swap dealers and of major effective) when the National Futures registration system to an online
swap participants. registration system that utilizes, among
Association (‘‘NFA’’) makes the new,
Estimated Number of Respondents: other things, an electronic version of
revised version of the Form 8–R
770. Form 8–R.10
Estimated Total Annual Burden on available on the NFA Web site for use
Respondents: 648 hours. by individual applicants. 3 17 CFR 3.1(a); 3.10(a)(2); 3.11(a)(1). While
Frequency of Collection: Periodically. FOR FURTHER INFORMATION CONTACT: Erik ‘‘principal’’ is not technically a registration class
There are no capital costs or operating F. Remmler, Deputy Director, (202) 418– and principals do not apply for registration, for
purposes of this Notice, the Form 8–R filings by
and maintenance costs associated with 7630, eremmler@cftc.gov; Laura Gardy, principals will be referred to with the other Form
this collection. Associate Director, (202) 418–7645, 8–R filings as ‘‘registration applications.’’
Authority: 44 U.S.C. 3501 et seq.
lgardy@cftc.gov; or August A. Imholtz 4 17 CFR 3.11(a)(1).
III, Special Counsel, (202) 418–5140, 5 Revision of Registration Forms and Amendment
Dated: April 24, 2017. aimholtz@cftc.gov, Division of Swap of Related Rules, 42 FR 23988 (May 11, 1977) (Form
Robert N. Sidman, 8–R replaced Forms 2–R, 4–R and 94).
Dealer and Intermediary Oversight, 6 7 U.S.C. 21 (2012).
Deputy Secretary of the Commission. Commodity Futures Trading 7 7 U.S.C. 21(o) (2012).
[FR Doc. 2017–08559 Filed 4–27–17; 8:45 am] Commission, 1155 21st Street NW., 8 17 CFR 3.2.
BILLING CODE 6351–01–P Washington, DC 20581. 9 See, e.g., Introducing Brokers and Associated
SUPPLEMENTARY INFORMATION: Persons of Introducing Brokers; Authorization of
National Futures Association to Perform
COMMODITY FUTURES TRADING I. Background Commission Registration Functions, 48 FR 35158
(Aug. 3, 1983); Performance of Registration
COMMISSION Individuals acting in certain Functions by National Futures Association, 49 FR
capacities in the markets regulated by 39593 (Oct. 9, 1984) (futures commission
Sunshine Act Meetings the Commission must file a completed merchants, commodity pool operators, commodity
trading advisors, and associated persons thereof);
TIME AND DATE: 11:00 a.m., Thursday, Form 8–R with NFA.1 These applicants Performance of Registration Functions by National
May 4, 2017. include: Associated persons of futures Futures Association; Delegation of Authority, 51 FR
commission merchants, retail foreign 34490 (Sept. 29, 1986) (floor brokers); Performance
PLACE: Three Lafayette Centre, 1155 21st of Registration Functions by National Futures
exchange dealers, introducing brokers,
Street NW., Washington, DC, 9th Floor commodity trading advisors, commodity
Association with Respect to Floor Traders and Floor
Commission Conference Room. Brokers, 58 FR 19657 (Apr. 15, 1993); and
pool operators, and leverage transaction Performance of Registration Functions by National
STATUS: Closed. merchants; floor brokers; and floor Futures Association with Respect to Swap Dealers
MATTERS TO BE CONSIDERED: and Major Swap Participants, 77 FR 2708 (Jan. 19,
asabaliauskas on DSK3SPTVN1PROD with NOTICES
traders.2 Additionally, any individual
Surveillance, enforcement, and 2012).
acting in the capacity as principal of a 10 Registration of Intermediaries, 67 FR 38869
examinations matters. In the event that futures commission merchant, retail (June 6, 2002). The transition to an online
the time, date, or location of this foreign exchange dealer, introducing registration system has permitted greater
meeting changes, an announcement of broker, commodity trading advisor, efficiencies, including allowing individuals to
the change, along with the new time, update their existing Forms 8–R instead of
commodity pool operator, swap dealer, completing a separate Form 3–R. To that end, in
date, and/or place of the meeting will be 2012, the Commission eliminated the requirement
posted on the Commission’s Web site at 1 17 CFR 3.10(a)(2), 3.11(a), and 3.12(c). that registrants and individuals use Form 3–R to
http://www.cftc.gov. 2 17 CFR 3.11(a); 3.12(c). Continued
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Document Created: 2017-04-28 03:02:44
Document Modified: 2017-04-28 03:02:44
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| Action | Notice. | |
| Dates | Comments must be submitted on or before June 27, 2017. | |
| Contact | Laura Gardy, Associate Director, (202) 418-7645, [email protected]; or August A. Imholtz III, Special Counsel, (202) 418-5140, [email protected], Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission, 1155 21st Street NW., Washington, DC 20581. | |
| FR Citation | 82 FR 19663 |
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