82 FR 56222 - Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0082, Whistleblower Provision
COMMODITY FUTURES TRADING COMMISSION Federal Register Volume 82, Issue 227 (November 28, 2017)
Federal Register Volume 82, Issue 227 (November 28, 2017)
| Page Range | 56222-56223 | |
| FR Document | 2017-25704 |
[Federal Register Volume 82, Number 227 (Tuesday, November 28, 2017)] [Notices] [Pages 56222-56223] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-25704] ----------------------------------------------------------------------- COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0082, Whistleblower Provision AGENCY: Commodity Futures Trading Commission. ACTION: Notice. ----------------------------------------------------------------------- SUMMARY: The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is announcing an opportunity for public comment on the extension of a proposed collection of certain information by the agency. Under the Paperwork Reduction Act (``PRA''), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment. In August 2011, the Commission adopted a final rule, as required by Wall Street Reform and Consumer Protection Act (``Dodd- Frank Act''), requiring the submission of whistleblower information to the Commission on the Forms TCR and WB-APP. This notice solicits comments on the proposed Information Collection Request (``ICR'') titled: Renewal for Whistleblower Provision; OMB Control Number 3038- 0082. DATES: Comments must be submitted on or before January 29, 2018. ADDRESSES: You may submit comments, identified by OMB Control No. 3038- 0082 by any of the following methods:The Agency's Web site, via its Comments Online process: http://comments.cftc.gov. Follow the instructions for submitting comments through the Web site. Mail: 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/search/index.jsp. Follow the instructions for submitting comments. 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 Sec. 145.9 of the Commission's regulations.\1\ --------------------------------------------------------------------------- \1\ 17 CFR 145.9. --------------------------------------------------------------------------- The Commission reserves the right, but shall have no obligation, to review, pre-screen, filter, redact, refuse or remove any or all of your submission from http://www.cftc.gov that it may deem to be inappropriate for publication, such as obscene language. All submissions that have been redacted or removed that contain comments on [[Page 56223]] the merits of the ICR 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: Christopher Ehrman, Director, Whistleblower Office, Commodity Futures Trading Commission, (202) 418- 7650; email: [email protected]. 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(c) 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, including each proposed extension of an existing 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. With respect to the following collection of information, the CFTC invites comments on: Whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information will have a practical use; The accuracy of the Commission's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; Ways to enhance the quality, usefulness, and clarity of the information to be collected; and Ways to minimize the burden of collection of information on those who are to respond, including through the use of appropriate automated electronic, mechanical, or other technological collection techniques or other forms of information technology; e.g., permitting electronic submission of responses. Title: The Whistleblower Provision of Section 23 of the Commodity Exchange Act, OMB Control Number 3038-0082. This is a request for extension of a currently approved information collection. Abstract: 17 CFR 165.3(a) requires the submission of information to the Commission on a Form TCR. The Form TCR, ``Tip, Complaint, or Referral,'' and the instructions thereto, are designed to capture basic identifying information about a complainant and elicit sufficient information to determine whether the conduct alleged suggests a violation of the Commodity Exchange Act. 17 CFR 165.7(b)(1) requires the submission of information to the Commission on a Form WB-APP. The Form WB-APP, ``Application for Award for Original Information Provided Pursuant to Section 23 of the Commodity Exchange Act,'' and the instructions thereto, are designed to elicit sufficient information to determine whether and to what extent a claimant qualifies for a whistleblower award. Burden Statement: The respondent burden for this collection is estimated to be 0.5 hours per response. Respondents/affected entities: Individuals. Estimated number of respondents: 600 per year. Estimated total annual burden on respondents: 300 hours. Frequency of collection: Once. (Authority: 44 U.S.C. 3501 et seq.) Dated: November 17, 2017. Robert N. Sidman, Deputy Secretary of the Commission. [FR Doc. 2017-25704 Filed 11-27-17; 8:45 am] BILLING CODE 6351-01-P
![56222 Federal Register / Vol. 82, No. 227 / Tuesday, November 28, 2017 / Notices
• Regulation 5.12(b) requires The rules establish reporting and Paperwork Reduction Act (‘‘PRA’’),
registered RFEDs to file a Form 1–FR– recordkeeping requirements that are Federal agencies are required to publish
FCM on a monthly and annual basis. necessary to implement the provisions notice in the Federal Register
• Regulation 5.12(g) states that, in the of the Food, Conservation, and Energy concerning each proposed collection of
event that an RFED cannot file its Form Act of 2008 1 regarding off-exchange information, including each proposed
1–FR–FCM for any period within the transactions in foreign currency with extension of an existing collection of
time specified in Regulation 5.12(b), the members of the public. The rules are information, and to allow 60 days for
RFED may file an application for an intended to promote customer public comment. In August 2011, the
extension of time with its self-regulatory protection by providing safeguards Commission adopted a final rule, as
organization. against irresponsible or fraudulent required by Wall Street Reform and
• Regulation 5.13(a) requires RFEDs business practices.2 Consumer Protection Act (‘‘Dodd-Frank
and FCMs to provide monthly account An agency may not conduct or Act’’), requiring the submission of
statements to their customers. sponsor, and a person is not required to whistleblower information to the
• Regulation 5.13(b) requires RFEDs respond to, a collection of information Commission on the Forms TCR and
and FCMs to provide confirmation unless it displays a currently valid OMB WB–APP. This notice solicits comments
statements to their customers within control number. On September 18, 2017, on the proposed Information Collection
one business day after the execution of the Commission published in the Request (‘‘ICR’’) titled: Renewal for
any retail forex or forex option Federal Register notice of the proposed Whistleblower Provision; OMB Control
transaction. extension of this information collection Number 3038–0082.
• Regulation 5.14 requires RFEDs and and provided 60 days for public DATES: Comments must be submitted on
FCMs to maintain current ledgers of comment on the proposed extension, 82 or before January 29, 2018.
each transaction affecting its asset, FR 43527. The Commission received no
liability, income, expense and capital ADDRESSES: You may submit comments,
relevant comments. identified by OMB Control No. 3038–
accounts. Burden Statement: The Commission
• Regulation 5.18(g) requires each is revising its estimate of the burden for
0082 by any of the following methods:
RFED, FCM, CPO, CTA, and IB subject • The Agency’s Web site, via its
this collection to reflect the current Comments Online process: http://
to Part 5 to maintain a record of all number of affected registrants and
communications received that give rise comments.cftc.gov. Follow the
revised burden estimates. Accordingly, instructions for submitting comments
to possible violations of the Act, rules, the respondent burden for this
regulations or orders thereunder related through the Web site.
collection is estimated to be as follows: • Mail: Secretary of the Commission,
to their retail forex business. • Number of Registrants: 169.
• Regulation 5.18(i) requires each • Estimated Average Burden Hours
Commodity Futures Trading
RFED and FCM to prepare and maintain Commission, Three Lafayette Centre,
per Registrant: 777. 1155 21st Street NW., Washington, DC
on a quarterly basis a calculation of non- • Estimated Aggregate Burden Hours:
discretionary retail forex customer 20581.
131,259. • Hand Delivery/Courier: Same as
accounts open for any period of time • Frequency of Recordkeeping: As
during the quarter that were profitable, Mail above.
applicable. • Federal eRulemaking Portal: http://
and the percentage of such accounts that
were not profitable. (Authority: 44 U.S.C. 3501 et seq.) www.regulations.gov/search/index.jsp.
• Regulation 5.18(j) requires the CCO Dated: November 22, 2017. Follow the instructions for submitting
of each RFED and FCM to certify Robert N. Sidman, comments.
annually that the firm has in place Deputy Secretary of the Commission. Please submit your comments using
processes to establish, maintain, review, only one method.
[FR Doc. 2017–25698 Filed 11–27–17; 8:45 am]
modify and test policies and procedures All comments must be submitted in
BILLING CODE 6351–01–P
reasonably designed to achieve English, or if not, accompanied by an
compliance with the Act, rules, English translation. Comments will be
regulations and orders thereunder. COMMODITY FUTURES TRADING posted as received to http://
• Regulation 5.19 requires each COMMISSION www.cftc.gov. You should submit only
RFED, FCM, CPO, CTA, and IB subject information that you wish to make
to Part 5 to submit to the Commission Agency Information Collection available publicly. If you wish the
copies of any dispositive or partially Activities: Notice of Intent To Renew Commission to consider information
dispositive decision for which a notice Collection 3038–0082, Whistleblower that you believe is exempt from
of appeal has been filed in any material Provision disclosure under the Freedom of
legal proceeding (1) to which the firm is Information Act, a petition for
a party to or to which its property or AGENCY: Commodity Futures Trading confidential treatment of the exempt
assets is subject with respect to retail Commission. information may be submitted according
forex transactions, or (2) instituted ACTION: Notice. to the procedures established in § 145.9
against any person who is a principal of of the Commission’s regulations.1
the firm arising from conduct in such SUMMARY: The Commodity Futures The Commission reserves the right,
person’s capacity as a principal of that Trading Commission (‘‘Commission’’ or but shall have no obligation, to review,
firm. ‘‘CFTC’’) is announcing an opportunity pre-screen, filter, redact, refuse or
• Regulation 5.20 requires RFEDs, for public comment on the extension of remove any or all of your submission
ethrower on DSK3G9T082PROD with NOTICES
FCMs and IBs to submit documentation a proposed collection of certain from http://www.cftc.gov that it may
requested pursuant to certain types of information by the agency. Under the deem to be inappropriate for
special calls by the Commission. publication, such as obscene language.
• Regulation 5.23 requires RFEDs,
1 Public Law 110–246, 122 Stat. 1651, 2189–220
(2008).
All submissions that have been redacted
FCMs and IBs to notify the Commission 2 See Regulation of Off-Exchange Retail Foreign or removed that contain comments on
regarding bulk transfers and bulk Exchange Transactions and Intermediaries, 75 FR
liquidations of customer accounts. 55410, 55416 (Sept. 10, 2010). 1 17 CFR 145.9.
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![Federal Register / Vol. 82, No. 227 / Tuesday, November 28, 2017 / Notices 56223
the merits of the ICR will be retained in the instructions thereto, are designed to • OMB: Office of Management and
the public comment file and will be capture basic identifying information Budget, New Executive Office Building,
considered as required under the about a complainant and elicit sufficient Room 10235, Washington, DC 20503 or
Administrative Procedure Act and other information to determine whether the fax to (202) 395–5806. Mailed or faxed
applicable laws, and may be accessible conduct alleged suggests a violation of comments to OMB should be to the
under the Freedom of Information Act. the Commodity Exchange Act. 17 CFR attention of the OMB Desk Officer for
FOR FURTHER INFORMATION CONTACT: 165.7(b)(1) requires the submission of the Bureau of Consumer Financial
Christopher Ehrman, Director, information to the Commission on a Protection.
Whistleblower Office, Commodity Form WB–APP. The Form WB–APP, Please note that comments submitted
Futures Trading Commission, (202) ‘‘Application for Award for Original after the comment period will not be
418–7650; email: cehrman@cftc.gov. Information Provided Pursuant to accepted. In general, all comments
Section 23 of the Commodity Exchange received will become public records,
SUPPLEMENTARY INFORMATION: Under the
Act,’’ and the instructions thereto, are including any personal information
PRA, Federal agencies must obtain
designed to elicit sufficient information provided. Sensitive personal
approval from the Office of Management
to determine whether and to what information, such as account numbers
and Budget (‘‘OMB’’) for each collection
extent a claimant qualifies for a or Social Security numbers, should not
of information they conduct or sponsor.
whistleblower award. be included.
‘‘Collection of Information’’ is defined Burden Statement: The respondent
in 44 U.S.C. 3502(3) and 5 CFR FOR FURTHER INFORMATION CONTACT:
burden for this collection is estimated to Documentation prepared in support of
1320.3(c) and includes agency requests be 0.5 hours per response.
or requirements that members of the this information collection request is
• Respondents/affected entities:
public submit reports, keep records, or available at www.reginfo.gov (this link
Individuals.
provide information to a third party. • Estimated number of respondents: becomes active on the day following
Section 3506(c)(2)(A) of the PRA, 44 600 per year. publication of this notice). Select
U.S.C. 3506(c)(2)(A), requires Federal • Estimated total annual burden on ‘‘Information Collection Review,’’ under
agencies to provide a 60-day notice in respondents: 300 hours. ‘‘Currently under review’’, use the
the Federal Register concerning each • Frequency of collection: Once. dropdown menu ‘‘Select Agency’’ and
proposed collection of information, select ‘‘Consumer Financial Protection
(Authority: 44 U.S.C. 3501 et seq.)
including each proposed extension of an Bureau’’ (recent submissions to OMB
existing collection of information, Dated: November 17, 2017. will be at the top of the list). The same
before submitting the collection to OMB Robert N. Sidman, documentation is also available at
for approval. To comply with this Deputy Secretary of the Commission. http://www.regulations.gov. Requests for
requirement, the CFTC is publishing additional information should be
[FR Doc. 2017–25704 Filed 11–27–17; 8:45 am]
notice of the proposed collection of directed to the Consumer Financial
BILLING CODE 6351–01–P
information listed below. Protection Bureau, (Attention: PRA
With respect to the following Office), 1700 G Street NW., Washington,
collection of information, the CFTC DC 20552, (202) 435–9575, or email:
BUREAU OF CONSUMER FINANCIAL CFPB_PRA@cfpb.gov. Please do not
invites comments on: PROTECTION
• Whether the proposed collection of submit comments to this email box.
information is necessary for the proper [Docket No. CFPB–2017–0035] SUPPLEMENTARY INFORMATION:
performance of the functions of the Title of Collection: Consumer
Commission, including whether the Agency Information Collection Response Intake Form.
information will have a practical use; Activities: Submission for OMB OMB Control Number: 3170–0011.
• The accuracy of the Commission’s Review; Comment Request Type of Review: Extension with
estimate of the burden of the proposed AGENCY: Bureau of Consumer Financial change of a currently approved
collection of information, including the Protection. collection.
validity of the methodology and ACTION: Notice and request for comment.
Affected Public: Individuals or
assumptions used; households.
• Ways to enhance the quality, SUMMARY: In accordance with the Estimated Number of Respondents:
usefulness, and clarity of the Paperwork Reduction Act of 1995 3,000,000.
information to be collected; and (PRA), the Bureau of Consumer Estimated Total Annual Burden
• Ways to minimize the burden of Financial Protection (Bureau) is Hours: 387,500.
collection of information on those who proposing to renew with change the Abstract: The Intake Form is designed
are to respond, including through the Office of Management and Budget to aid consumers in the submission of
use of appropriate automated electronic, (OMB) approval for an existing complaints, inquiries, and feedback and
mechanical, or other technological information collection titled, to help the Bureau fulfill its statutory
collection techniques or other forms of ‘‘Consumer Response Intake Form’’. requirements.1 Consumers (also referred
information technology; e.g., permitting DATES: Written comments are to as ‘‘respondents’’) will be able to
electronic submission of responses. encouraged and must be received on or complete and submit information
Title: The Whistleblower Provision of before December 28, 2017 to be assured through the Intake Form electronically
Section 23 of the Commodity Exchange of consideration. on the Bureau ’s Web site. Alternatively,
Act, OMB Control Number 3038–0082. ADDRESSES: You may submit comments, respondents may request that the
ethrower on DSK3G9T082PROD with NOTICES
This is a request for extension of a identified by the title of the information Bureau mail a paper copy of the Intake
currently approved information collection, OMB Control Number (see Form, and then mail or fax it back to the
collection. below), and docket number (see above),
1 See Dodd-Frank Wall Street Reform and
Abstract: 17 CFR 165.3(a) requires the by any of the following methods:
Consumer Protection Act, Public Law 111–203,
submission of information to the • Electronic: http:// Title X, sections 1013(b)(3), 1021(c)(2), and 1034,
Commission on a Form TCR. The Form www.regulations.gov. Follow the codified at 12 U.S.C. 5493(b)(3), 5511(c)(2), and
TCR, ‘‘Tip, Complaint, or Referral,’’ and instructions for submitting comments. 5534.
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Document Created: 2017-11-28 01:51:25
Document Modified: 2017-11-28 01:51:25
| 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 January 29, 2018. | |
| Contact | Christopher Ehrman, Director, Whistleblower Office, Commodity Futures Trading Commission, (202) 418- 7650; email: [email protected] | |
| FR Citation | 82 FR 56222 |
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