82 FR 19665 - Sunshine Act Meetings

COMMODITY FUTURES TRADING COMMISSION

Federal Register Volume 82, Issue 81 (April 28, 2017)

Page Range		19665-19665
FR Document		2017-08684

Federal Register, Volume 82 Issue 81 (Friday, April 28, 2017)

[Federal Register Volume 82, Number 81 (Friday, April 28, 2017)]
[Notices]
[Page 19665]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-08684]


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COMMODITY FUTURES TRADING COMMISSION


Sunshine Act Meetings

TIME AND DATE: 11:00 a.m., Thursday, May 4, 2017.

PLACE: Three Lafayette Centre, 1155 21st Street NW., Washington, DC, 
9th Floor Commission Conference Room.

STATUS: Closed.

MATTERS TO BE CONSIDERED: Surveillance, enforcement, and examinations 
matters. In the event that the time, date, or location of this meeting 
changes, an announcement of the change, along with the new time, date, 
and/or place of the meeting will be posted on the Commission's Web site 
at http://www.cftc.gov.

CONTACT PERSON FOR MORE INFORMATION: Christopher Kirkpatrick, 202-418-
5964.

Natise Allen,
Executive Assistant.
[FR Doc. 2017-08684 Filed 4-26-17; 11:15 am]
BILLING CODE 6351-01-P

Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19665

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 03:02:38
Document Modified: 2017-04-28 03:02:38

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
Dates		11:00 a.m., Thursday, May 4, 2017.
FR Citation		82 FR 19665