83 FR 1609 - Agency Information Collection Activities: Notice of Intent To Revise Collection Numbers 3038-0052 and 3038-0074, Core Principles and Other Requirements for Designated Contract Markets, and Core Principles and Other Requirements for Swap Execution Facilities
COMMODITY FUTURES TRADING COMMISSION Federal Register Volume 83, Issue 9 (January 12, 2018)
Federal Register Volume 83, Issue 9 (January 12, 2018)
| Page Range | 1609-1611 | |
| FR Document | 2018-00469 |
[Federal Register Volume 83, Number 9 (Friday, January 12, 2018)] [Notices] [Pages 1609-1611] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-00469] ======================================================================= ----------------------------------------------------------------------- COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Notice of Intent To Revise Collection Numbers 3038-0052 and 3038-0074, Core Principles and Other Requirements for Designated Contract Markets, and Core Principles and Other Requirements for Swap Execution Facilities AGENCY: Commodity Futures Trading Commission. [[Page 1610]] ACTION: Notice. ----------------------------------------------------------------------- SUMMARY: The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is announcing an opportunity for public comment on the proposed revision of two collections 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. This notice solicits comments, as described below, on the proposed Information Collection Requests (``ICR'') titled: OMB Control Number 3038-0074 and Part 38, Relating to Core Principles and Other Requirements for Designated Contract Markets; and OMB Control Number 3038-0052 and Part 37, Relating to Core Principles and Other Requirements for Swap Execution Facilities. This notice also solicits comments on the collection of information mandated by the Commission regulation on Contents of Notice of Disciplinary or Access Denial Action. The collection of information burden associated with that regulation belongs to OMB Control Nos. 3038-0052 and 3038-0074. DATES: Comments must be submitted on or before March 13, 2018. ADDRESSES: You may submit comments, identified by OMB Control Nos. 3038-0052 and 3038-0074 by any of the following methods:CFTC website: https://comments.cftc.gov. Follow the instructions for submitting comments through the Comments Online process on the website. 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. Please submit your comments using only one method. FOR FURTHER INFORMATION CONTACT: David Steinberg, Associate Director, Division of Market Oversight, Commodity Futures Trading Commission, (202) 418-5102; 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 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 amendments 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 control number. Title: Core Principles and Other Requirements for Designated Contract Markets (OMB Control No. 3038-0052), and Core Principles and Other Requirements for Swap Execution Facilities (OMB Control No. 3038- 0074). This is a request for an extension of currently approved information collections. Abstract: The regulations governing designated contract markets (``DCMs'') were adopted pursuant to the requirements of the Commodity Futures Modernization Act of 2000 (``CFMA'').\1\ Part 38 of the Commission's regulations governs the activities of DCMs. The information collected pursuant to part 38 is necessary for the Commission to evaluate whether entities operating as, or applying to become DCMs, comply with the part 38 requirements including 23 core principles. --------------------------------------------------------------------------- \1\ 7 U.S.C. 1 et seq. --------------------------------------------------------------------------- In June 2012, the Commission implemented core principles and other requirements for DCMs (``DCM Final Rules'').\2\ The Commission stated in the DCM Final Rules that 18 DCMs were registered with the Commission.\3\ However, since publication of the DCM Final Rules, the number of DCMs registered with the Commission has decreased from 18 to 15. Accordingly, the Commission is revising the below burden statement from the DCM Final Rules to account for the decrease in the number of registered DCMs. --------------------------------------------------------------------------- \2\ 77 FR 36612 (June 19, 2012). \3\ Id. at 36663. --------------------------------------------------------------------------- Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') added new section 5h to the Commodity Exchange Act (``CEA'') to impose requirements concerning the registration and operation of swap execution facilities (``SEFs''), which the Commission has incorporated in part 37 of its regulations. These information collections are needed for the Commission to ensure that SEFs comply with these requirements. Among other requirements, part 37 of the Commission's regulations imposes SEF registration requirements for a trading platform or system, obligates SEFs to provide transaction confirmations to swap counterparties, and requires SEFs to comply with 15 core principles. In September 2016, the Commission published a 30-Day Notice of Intent to Renew Collection 3038-0074 (30-Day Renewal Notice) and stated that 23 SEFs were registered with the Commission.\4\ However, since publication of the 30-Day Renewal Notice, the Commission has granted permanent registration to two additional SEFs, for a total of 25 registered SEFs. Therefore, the Commission is revising the below burden statement from the 30-Day Renewal Notice to account for the increase in the number of registered SEFs. --------------------------------------------------------------------------- \4\ 81 FR 65630 (Sept. 23, 2016). --------------------------------------------------------------------------- In a separate document published elsewhere in this issue of the Federal Register, the Commission adopted regulation 9.11(b)(3)(ii) requiring a DCM or SEF (collectively, ``exchange'') to include two additional elements in the disciplinary or access denial notice action provided to the National Futures Association. First, an exchange must include the type of product (as applicable) involved in the adverse action.\5\ Requiring an exchange to provide this information in the disciplinary or access denial notice will provide the Commission, market participants, the public, and other exchanges with greater transparency concerning where market abuses originate and whether the abuses are concentrated among certain product types. Second, an exchange must indicate in its notice of disciplinary or access denial actions whether the violation underlying the notice resulted in financial harm to any customers. This requirement codifies the clarification contained in an advisory previously issued by the Commission (``Part 9 Advisory'').\6\ The Commission believes [[Page 1611]] that the inclusion of customer harm is essential because it cannot effectively perform its regulatory and oversight functions without knowledge of those instances in which brokers violate their fiduciary duty to customers by taking advantage of customer orders and engaging in fraudulent activity. The collections of information are mandatory. --------------------------------------------------------------------------- \5\ For example, a product trading on a designated contract market might be specified as a July 2016 Eurodollar future; while a product trading on a swap execution facility may be a CDX North American High Yield Series 26 5 year. \6\ The Part 9 Advisory permitted an exchange to file disciplinary or access denial notices with the Commission or the National Futures Association. 64 FR 39915 (July 23, 1999). --------------------------------------------------------------------------- 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; 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.\7\ --------------------------------------------------------------------------- \7\ 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 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. Burden Statement: The Commission believes that the additional burden for an exchange to add the two additional elements in the contents of the disciplinary or access denial notice is de minimis.\8\ Accordingly, the Commission is maintaining its current estimate of the burden for both collections as result of these reporting requirements. However, the Commission is amending its estimates for the collections to account for the change in the number of DCMs and SEFs currently registered with the Commission. The current respondent burden for these collections are estimated to be as follows: --------------------------------------------------------------------------- \8\ The Commission stated in the Notice of Proposed Rulemaking that the burden associated with Commission regulation 9.11(b)(3)(ii) requiring an exchange to specify the product involved in the disciplinary or access denial action would be de minimis. 82 FR 7745 (Jan. 23, 2017). The Commission did not receive any comments regarding this determination. The Commission estimates that it will take an exchange just a few seconds to add the product involved in the adverse action and whether the violation underlying the notice resulted in financial harm to any customers. --------------------------------------------------------------------------- OMB Control No. 3038-0052 (Core Principles and Other Requirements for Designated Contract Markets). Number of Respondents: 15. Estimated Annual Burden Hours per Respondent: 490.5. Estimated Total Burden Hours on Respondents: 7,357.5. Frequency of Collection: As applicable. OMB Control No. 3038-0074 (Core Principles and Other Requirements for Swap Execution Facilities). Number of Respondents: 25. Estimated Annual Burden Hours per Respondent: 1,000. Estimated Total Burden Hours on Respondents: 25,000. Frequency of Collection: As applicable. The regulations require no new startup or operations and maintenance costs. (Authority 44 U.S.C. 3501 et seq.) Dated: January 9, 2018. Christopher Kirkpatrick, Secretary of the Commission. [FR Doc. 2018-00469 Filed 1-11-18; 8:45 am] BILLING CODE 6351-01-P
![Federal Register / Vol. 83, No. 9 / Friday, January 12, 2018 / Notices 1609
Board’s website, which is accessible via Mandatory for: Broad Government 1. The action will not result in
www.trade.gov/ftz. Requirement additional reporting, recordkeeping or
For further information, contact Contracting Activity: Defense Logistics other compliance requirements for small
Kathleen Boyce at Kathleen.Boyce@ Agency Aviation entities.
trade.gov or (202) 482–1346. Service 2. The action may result in
Dated: January 8, 2018. Service Type: Janitorial and Related Service authorizing small entities to furnish the
Andrew McGilvray, Mandatory for: GSA Region 5, FDA Forensic products to the Government.
Chemistry Center, 6751 Steger Drive, 3. There are no known regulatory
Executive Secretary.
Cincinnati, OH alternatives which would accomplish
[FR Doc. 2018–00465 Filed 1–11–18; 8:45 am] Mandatory Source of Supply: Portco, Inc., the objectives of the Javits-Wagner-
BILLING CODE 3510–DS–P Portsmouth, VA O’Day Act (41 U.S.C. 8501–8506) in
Contracting Activity: GSA, Public Buildings connection with the products deleted
Service, PBS R5
from the Procurement List.
COMMITTEE FOR PURCHASE FROM Patricia Briscoe,
PEOPLE WHO ARE BLIND OR End of Certification
Deputy Director, Business Operations, Pricing
SEVERELY DISABLED and Information Management. Accordingly, the following products
[FR Doc. 2018–00423 Filed 1–11–18; 8:45 am] are deleted from the Procurement List:
Procurement List; Proposed Additions
BILLING CODE 6353–01–P Products
AGENCY: Committee for Purchase From NSNs—Product Names:
People Who Are Blind or Severely 7510–00–NIB–1784—Portfolio Pad Holder,
Disabled. COMMITTEE FOR PURCHASE FROM with Pad, Custom Logo & Color, 4″ x 6″
ACTION: Proposed additions from the PEOPLE WHO ARE BLIND OR 7510–00–NIB–1785—Portfolio Pad Holder,
Procurement List. SEVERELY DISABLED with pad, Custom Logo & Color, 6″ x 9″
Mandatory Source of Supply: Alphapointe,
SUMMARY: The Committee is proposing Procurement List; Deletions Kansas City, MO
to add a product and a service to the Contracting Activity: General Services
AGENCY: Committee for Purchase From Administration, New York, NY
Procurement List that will be furnished People Who Are Blind or Severely
by nonprofit agencies employing NSNs—Product Names:
Disabled. 7510–01–642–8626—Kit, Maintenance,
persons who are blind or have other ACTION: Deletions from the Procurement Remanufactured, Toner Cartridge,
severe disabilities. List. Lexmark T620/620N Series Compatible
DATES: Comments must be received on 7510–01–633–7855—Toner Cartridge,
or before: February 11, 2018. SUMMARY: This action deletes products Remanufactured, Lexmark E230/E232/
ADDRESSES: Committee for Purchase from the Procurement List previously E234/E330/E332/E340/E342 Series
From People Who Are Blind or Severely furnished by nonprofit agencies Compatible
employing persons who are blind or 7510–01–633–7853—Toner Cartridge,
Disabled, 1401 S. Clark Street, Suite
have other severe disabilities. Remanufactured, Lexmark Optra T620/
715, Arlington, Virginia 22202–4149. T622 Series Compatible
DATES: Date added to the Procurement
FOR FURTHER INFORMATION CONTACT: For 7510–01–641–9550—Toner Cartridge,
further information or to submit List: February 11, 2018. Remanufactured Lexmark Optra T630/
comments contact: Amy B. Jensen, ADDRESSES: Committee for Purchase T632/T634 Series Compatible
Telephone: (703) 603–7740, Fax: (703) From People Who Are Blind or Severely 7510–01–560–6576—Remanufactured HP
603–0655, or email CMTEFedReg@ Disabled, 1401 S. Clark Street, Suite LJ Toner Cartridge—OEM C3909A
715, Arlington, Virginia 22202–4149. 7510–01–560–6233—Remanufactured HP
AbilityOne.gov.
FOR FURTHER INFORMATION CONTACT:
LJ Toner Cartridge—OEM C7115X
SUPPLEMENTARY INFORMATION: This Mandatory Source of Supply: TRI Industries
Amy B. Jensen, Telephone: (703) 603– NFP, Vernon Hills, IL
notice is published pursuant to 41
7740, Fax: (703) 603–0655, or email Contracting Activity: General Services
U.S.C. 8503 (a)(2) and 41 CFR 51–2.3. Its
CMTEFedReg@AbilityOne.gov. Administration, New York, NY
purpose is to provide interested persons
SUPPLEMENTARY INFORMATION:
an opportunity to submit comments on Patricia Briscoe,
the proposed actions. Deletions Deputy Director, Business Operations, Pricing
Additions On 12/8/2017 (82 FR 235), the and Information Management.
Committee for Purchase From People [FR Doc. 2018–00422 Filed 1–11–18; 8:45 am]
If the Committee approves the
Who Are Blind or Severely Disabled BILLING CODE 6353–01–P
proposed additions, the entities of the
published notice of proposed deletions
Federal Government identified in this
from the Procurement List.
notice will be required to procure the
After consideration of the relevant COMMODITY FUTURES TRADING
product and service listed below from
matter presented, the Committee has COMMISSION
nonprofit agencies employing persons
determined that the products listed
who are blind or have other severe
below are no longer suitable for Agency Information Collection
disabilities.
procurement by the Federal Government Activities: Notice of Intent To Revise
The following product and service are
under 41 U.S.C. 8501–8506 and 41 CFR Collection Numbers 3038–0052 and
proposed for addition to the
sradovich on DSK3GMQ082PROD with NOTICES
51–2.4. 3038–0074, Core Principles and Other
Procurement List for production by the
nonprofit agencies listed: Regulatory Flexibility Act Certification Requirements for Designated Contract
Markets, and Core Principles and
Product I certify that the following action will Other Requirements for Swap
NSN—Product Name: 6850–01–474–2317— not have a significant impact on a Execution Facilities
Solvent, Dry Cleaning, Degreasing, 5 Gal substantial number of small entities.
Mandatory Source of Supply: The Lighthouse The major factors considered for this AGENCY:Commodity Futures Trading
for the Blind, St. Louis, MO certification were: Commission.
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![Federal Register / Vol. 83, No. 9 / Friday, January 12, 2018 / Notices 1611
that the inclusion of customer harm is disciplinary or access denial notice is de Supplemental Final Environmental
essential because it cannot effectively minimis.8 Accordingly, the Commission Impact Statement on December 19,
perform its regulatory and oversight is maintaining its current estimate of the 2017. The Record of Decision reflects
functions without knowledge of those burden for both collections as result of the Air Force decision to implement the
instances in which brokers violate their these reporting requirements. However, three Proposed Action Alternatives:
fiduciary duty to customers by taking the Commission is amending its provide additional stormwater runoff
advantage of customer orders and estimates for the collections to account control; develop equipment and
engaging in fraudulent activity. The for the change in the number of DCMs material laydown areas; and provide
collections of information are and SEFs currently registered with the additional heat, water, and power to the
mandatory. Commission. The current respondent South Loop.
With respect to the collection of burden for these collections are The decision was based on matters
information, the CFTC invites estimated to be as follows: discussed in the F–35A Operational
comments on: • OMB Control No. 3038–0052 (Core Beddown—Pacific, Final Supplemental
• Whether the proposed collection of Principles and Other Requirements for Environmental Impact Statement,
information is necessary for the proper Designated Contract Markets). contributions from the public and
performance of the functions of the Number of Respondents: 15. regulatory agencies, and other relevant
Commission, including whether the Estimated Annual Burden Hours per factors. The Final Supplemental
information will have a practical use; Respondent: 490.5. Environmental Impact Statement was
• The accuracy of the Commission’s Estimated Total Burden Hours on
made available to the public on October
estimate of the burden of the proposed Respondents: 7,357.5.
Frequency of Collection: As 6, 2017 through a Notice of Availability
collection of information, including the published in the Federal Register (82
validity of the methodology and applicable.
assumptions used; • OMB Control No. 3038–0074 (Core FR 46808) with a 30-day wait period
• Ways to enhance the quality, Principles and Other Requirements for that ended on November 6, 2017.
Swap Execution Facilities). FOR FURTHER INFORMATION CONTACT:
usefulness, and clarity of the
Number of Respondents: 25. Mr. Hamid Kamalpour, AFCEC/CZN,
information to be collected; and
• Ways to minimize the burden of Estimated Annual Burden Hours per 2261 Hughes Ave, Ste 155, JBSA
collection of information on those who Respondent: 1,000. Lackland, TX 78236, ph: 210–925–2738.
Estimated Total Burden Hours on Authority: This Notice of Availability
are to respond, including through the
Respondents: 25,000. is published pursuant to the regulations
use of appropriate automated electronic, Frequency of Collection: As
mechanical, or other technological (40 CFR part 1506.6) implementing the
applicable. provisions of the National
collection techniques or other forms of The regulations require no new
information technology; e.g., permitting Environmental Policy Act of 1969 (42
startup or operations and maintenance U.S.C. 4321, et seq.) and the Air Force’s
electronic submission of responses. costs.
All comments must be submitted in Environmental Impact Analysis Process
English, or if not, accompanied by an (Authority 44 U.S.C. 3501 et seq.) (32 CFR parts 989.21(b) and
English translation. Comments will be Dated: January 9, 2018. 989.24(b)(7)).
posted as received to http:// Christopher Kirkpatrick, Anh Trinh,
www.cftc.gov. You should submit only Secretary of the Commission. Air Force Federal Register Liaison Officer.
information that you wish to make [FR Doc. 2018–00469 Filed 1–11–18; 8:45 am] [FR Doc. 2018–00458 Filed 1–11–18; 8:45 am]
available publicly. If you wish the BILLING CODE 6351–01–P BILLING CODE 5001–10–P
Commission to consider information
that you believe is exempt from
disclosure under the Freedom of DEPARTMENT OF DEFENSE
Information Act, a petition for DEPARTMENT OF ENERGY
confidential treatment of the exempt Department of the Air Force
information may be submitted according Federal Energy Regulatory
to the procedures established in § 145.9 Record of Decision for the F–35A Commission
of the Commission’s regulations.7 Operational Beddown—Pacific, Eielson
The Commission reserves the right, Air Force Base, Alaska Combined Notice of Filings #1
but shall have no obligation, to review,
AGENCY: Pacific Air Forces, Department Take notice that the Commission
pre-screen, filter, redact, refuse or
of the Air Force. received the following electric rate
remove any or all of your submission
ACTION: Notice of availability of a record filings:
from http://www.cftc.gov that it may
deem to be inappropriate for of decision. Docket Numbers: ER18–539–001.
publication, such as obscene language. SUMMARY: The United States Air Force Applicants: New England Power Pool
All submissions that have been redacted signed the Record of Decision for the F– Participants Committee.
or removed that contain comments on 35A Operational Beddown—Pacific, for Description: Tariff Amendment: Jan
the merits of the ICR will be retained in the Eielson Air Force Base, Alaska 2018 Membership Filing (Updated) to be
the public comment file and will be effective 12/1/2017.
considered as required under the 8 The Commission stated in the Notice of Filed Date: 1/5/18.
Administrative Procedure Act and other Proposed Rulemaking that the burden associated Accession Number: 20180105–5224.
Comments Due: 5 p.m. ET 1/26/18.
sradovich on DSK3GMQ082PROD with NOTICES
applicable laws, and may be accessible with Commission regulation 9.11(b)(3)(ii) requiring
an exchange to specify the product involved in the
under the Freedom of Information Act. disciplinary or access denial action would be de
Docket Numbers: ER18–613–000.
Burden Statement: The Commission minimis. 82 FR 7745 (Jan. 23, 2017). The Applicants: Alabama Power
believes that the additional burden for Commission did not receive any comments Company.
an exchange to add the two additional regarding this determination. The Commission Description: § 205(d) Rate Filing:
estimates that it will take an exchange just a few
elements in the contents of the seconds to add the product involved in the adverse
SMEPA NITSA Amendment Filing
action and whether the violation underlying the (adding 55 Delivery Points, etc.) to be
7 17 CFR 145.9. notice resulted in financial harm to any customers. effective 1/1/2018.
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Document Created: 2018-10-26 09:53:31
Document Modified: 2018-10-26 09:53:31
| 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 March 13, 2018. | |
| Contact | David Steinberg, Associate Director, Division of Market Oversight, Commodity Futures Trading Commission, (202) 418-5102; email: [email protected] | |
| FR Citation | 83 FR 1609 |
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