83 FR 26436 - Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0093, Part 40, Provisions Common to Registered Entities

COMMODITY FUTURES TRADING COMMISSION

Federal Register Volume 83, Issue 110 (June 7, 2018)

Page Range		26436-26437
FR Document		2018-12278

The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is announcing an opportunity for public comment on the 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, and to allow 60 days for public comment. This notice solicits comments on collections of information provided for by Part 40, Provisions Common to Registered Entities.

Federal Register, Volume 83 Issue 110 (Thursday, June 7, 2018)

[Federal Register Volume 83, Number 110 (Thursday, June 7, 2018)]
[Notices]
[Pages 26436-26437]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-12278]


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

COMMODITY FUTURES TRADING COMMISSION


Agency Information Collection Activities: Notice of Intent To 
Renew Collection 3038-0093, Part 40, Provisions Common to Registered 
Entities

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 
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, and to allow 60 days for public comment. This 
notice solicits comments on collections of information provided for by 
Part 40, Provisions Common to Registered Entities.

DATES: Comments must be submitted on or before August 6, 2018.

ADDRESSES: You may submit comments, identified by OMB Control No. 3038-
0093 by any of the following methods:
     The Agency's website, at http://comments.cftc.gov/. Follow 
the instructions for submitting comments through 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.
    Please submit your comments using only one method and identify that 
it is for the renewal of Collection Number 3038-0093.
    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 
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: Lois J. Gregory, Associate Director, 
Division of Market Oversight, Commodity Futures Trading Commission, 
(202) 418-5092; email: [email protected].

SUPPLEMENTARY INFORMATION: Under the PRA, 44 U.S.C. 3501 et seq., 
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: Part 40, Provisions Common to Registered Entities (OMB 
Control No. 3038-0093). This is a request for extension of a currently 
approved information collection.
    Abstract: This collection of information involves the collection 
and submission to the Commission of information from registered 
entities concerning new products, rules, and rule amendments pursuant 
to the procedures outlined in Sec. Sec.  40.2, 40.3, 40.5, 40.6, and 
40.10 found in 17 CFR part 40.
    With respect to the collection of information, the CFTC invites 
comments on:
     Whether the proposed collection of information is 
necessary for the proper

[[Page 26437]]

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.
    Burden Statement: Registered entities must comply with 
certification and approval requirements which include an explanation 
and analysis when seeking to implement new products, rules, and rule 
amendments, including changes to product terms and conditions. The 
Commission's regulations Sec. Sec.  40.2, 40.3, 40.5, 40.6 and 40.10 
provide procedures for the submission of rules and rule amendments by 
designated contract markets, swap execution facilities, derivatives 
clearing organizations, and swap data repositories. They establish the 
procedures for submitting the ``written certification'' required by 
Section 5c of the Act. In connection with a product or rule 
certification, the registered entity must provide a concise explanation 
and analysis of the submission and its compliance with statutory 
provisions of the Act. Accordingly, new rules or rule amendments must 
be accompanied by concise explanations and analyses of the purposes, 
operations, and effects of the submissions. This information may be 
submitted as part of the same submission containing the required 
``written certification.'' The Commission estimates the average burden 
of this collection of information as follows:
     Rules 40.2, 40.3, 40.5, and 40.6
    Estimated Number of Respondents: 70.
    Annual Responses by each Respondent: 100.
    Estimated Hours per Response: 2.
    Estimated Total Hours per Year: 14,000.
     Rule 40.10
    Estimated Number of Respondents: 3.
    Annual Responses by each Respondent: 2.
    Estimated Hours per Response: 5.
    Estimated Total Hours per Year: 30.

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


    Dated: June 4, 2018.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2018-12278 Filed 6-6-18; 8:45 am]
BILLING CODE 6351-01-P

26436 Federal Register / Vol. 83, No. 110 / Thursday, June 7, 2018 / Notices

determined aspects of transparency. Dated: June 4, 2018. Information Act, a petition for
This discussion may include the David J. Redl, confidential treatment of the exempt
appropriate scope of the initiative and Assistant Secretary for Communication and information may be submitted according
circulation of stakeholder-developed Information, National Telecommunications to the procedures established in § 145.9
drafts. Stakeholders may also agree on and Information Administration. of the Commission’s regulations.1
procedural work plans for the group, [FR Doc. 2018–12261 Filed 6–6–18; 8:45 am] The Commission reserves the right,
including additional meetings or BILLING CODE 3510–60–P but shall have no obligation, to review,
modified logistics for future meetings. pre-screen, filter, redact, refuse or
NTIA suggests that stakeholders remove any or all of your submission
consider setting clear deadlines for COMMODITY FUTURES TRADING from http://www.cftc.gov that it may
COMMISSION deem to be inappropriate for
working drafts and a phase for external
publication, such as obscene language.
review of such drafts, before
Agency Information Collection All submissions that have been redacted
reconvening to take account of external or removed that contain comments on
feedback. Activities: Notice of Intent To Renew
Collection 3038–0093, Part 40, the merits of the Information Collection
More information about stakeholders’ Provisions Common to Registered Request will be retained in the public
work will be available at: https:// Entities comment file and will be considered as
www.ntia.doc.gov/other-publication/ required under the Administrative
2018/SoftwareTransparency. AGENCY: Commodity Futures Trading Procedure Act and other applicable
Commission. laws, and may be accessible under the
Time and Date: NTIA will convene
ACTION: Notice. Freedom of Information Act.
the first meeting of the multistakeholder
process on Software Component FOR FURTHER INFORMATION CONTACT: Lois
SUMMARY: The Commodity Futures
Transparency on July 19, 2018, from Trading Commission (‘‘Commission’’ or J. Gregory, Associate Director, Division
10:00 a.m. to 4:00 p.m. Eastern Daylight of Market Oversight, Commodity
‘‘CFTC’’) is announcing an opportunity
Time. Please refer to NTIA’s website, Futures Trading Commission, (202)
for public comment on the proposed
418–5092; email: lgregory@cftc.gov.
https://www.ntia.doc.gov/other- collection of certain information by the
agency. Under the Paperwork Reduction SUPPLEMENTARY INFORMATION: Under the
publication/2018/Software
Transparency, for the most current Act (‘‘PRA’’), Federal agencies are PRA, 44 U.S.C. 3501 et seq., Federal
required to publish notice in the agencies must obtain approval from the
information.
Federal Register concerning each Office of Management and Budget
Place: The meeting will be held at the (OMB) for each collection of
American Institute of Architects, 1735 proposed collection of information,
including each proposed extension of an information they conduct or sponsor.
New York Ave. NW, Washington, DC ‘‘Collection of Information’’ is defined
existing collection, and to allow 60 days
20006. The location of the meeting is in 44 U.S.C. 3502(3) and 5 CFR 1320.3
for public comment. This notice solicits
subject to change. Please refer to NTIA’s and includes agency requests or
comments on collections of information
website, https://www.ntia.doc.gov/ provided for by Part 40, Provisions requirements that members of the public
other-publication/2018/Software submit reports, keep records, or provide
Common to Registered Entities.
Transparency, for the most current information to a third party. Section
DATES: Comments must be submitted on
information. 3506(c)(2)(A) of the PRA, 44 U.S.C.
or before August 6, 2018. 3506(c)(2)(A), requires Federal agencies
Other Information: The meeting is ADDRESSES: You may submit comments, to provide a 60-day notice in the
open to the public and the press on a identified by OMB Control No. 3038– Federal Register concerning each
first-come, first-served basis. Space is 0093 by any of the following methods: proposed collection of information
limited. • The Agency’s website, at http:// before submitting the collection to OMB
The meeting is physically accessible comments.cftc.gov/. Follow the for approval. To comply with this
to people with disabilities. Requests for instructions for submitting comments requirement, the CFTC is publishing
sign language interpretation or other through the website. notice of the proposed collection of
auxiliary aids should be directed to • Mail: Christopher Kirkpatrick, information listed below.
Allan Friedman at (202) 482–4281 or Secretary of the Commission, Title: Part 40, Provisions Common to
afriedman@ntia.doc.gov at least seven Commodity Futures Trading Registered Entities (OMB Control No.
(7) business days prior to each meeting. Commission, Three Lafayette Centre, 3038–0093). This is a request for
1155 21st Street NW, Washington, DC extension of a currently approved
The meetings will also be webcast.
20581. information collection.
Requests for real-time captioning of the
• Hand Delivery/Courier: Same as Abstract: This collection of
webcast or other auxiliary aids should Mail above.
be directed to Allan Friedman at (202) information involves the collection and
Please submit your comments using submission to the Commission of
482–4281 or afriedman@ntia.doc.gov at only one method and identify that it is information from registered entities
least seven (7) business days prior to for the renewal of Collection Number concerning new products, rules, and
each meeting. There will be an 3038–0093. rule amendments pursuant to the
opportunity for stakeholders viewing All comments must be submitted in procedures outlined in §§ 40.2, 40.3,
the webcast to participate remotely in English, or if not, accompanied by an 40.5, 40.6, and 40.10 found in 17 CFR
the meetings through a moderated English translation. Comments will be
sradovich on DSK3GMQ082PROD with NOTICES

part 40.
conference bridge, including polling posted as received to http:// With respect to the collection of
functionality. Access details for the www.cftc.gov. You should submit only information, the CFTC invites
meetings are subject to change. Please information that you wish to make comments on:
refer to NTIA’s website, https:// available publicly. If you wish the • Whether the proposed collection of
www.ntia.doc.gov/other-publication/ Commission to consider information information is necessary for the proper
2018/SoftwareTransparency, for the that you believe is exempt from
most current information. disclosure under the Freedom of 1 17 CFR 145.9.

VerDate Sep<11>2014 17:19 Jun 06, 2018 Jkt 244001 PO 00000 Frm 00027 Fmt 4703 Sfmt 4703 E:\FR\FM\07JNN1.SGM 07JNN1

Federal Register / Vol. 83, No. 110 / Thursday, June 7, 2018 / Notices 26437

performance of the functions of the Dated: June 4, 2018. Information Act, a petition for
Commission, including whether the Robert Sidman, confidential treatment of the exempt
information will have a practical use; Deputy Secretary of the Commission. information may be submitted according
• The accuracy of the Commission’s [FR Doc. 2018–12278 Filed 6–6–18; 8:45 am] to the procedures established in § 145.9
estimate of the burden of the proposed BILLING CODE 6351–01–P
of the Commission’s regulations.1
collection of information, including the The Commission reserves the right,
validity of the methodology and but shall have no obligation, to review,
assumptions used; COMMODITY FUTURES TRADING pre-screen, filter, redact, refuse or
• Ways to enhance the quality, COMMISSION remove any or all of your submission
usefulness, and clarity of the from http://www.cftc.gov that it may
information to be collected; and Agency Information Collection deem to be inappropriate for
• Ways to minimize the burden of Activities: Notice of Intent To Renew publication, such as obscene language.
collection of information on those who Collection Number 3038–0007, All submissions that have been redacted
are to respond, including through the Regulation of Domestic Exchange- or removed that contain comments on
use of appropriate automated electronic, Traded Options the merits of the ICR will be retained in
mechanical, or other technological the public comment file and will be
AGENCY: Commodity Futures Trading
collection techniques or other forms of considered as required under the
Commission.
information technology; e.g., permitting Administrative Procedure Act and other
ACTION: Notice; Extension of an Existing
electronic submission of responses. applicable laws, and may be accessible
Collection. under the Freedom of Information Act.
Burden Statement: Registered entities
must comply with certification and SUMMARY: The Commodity Futures FOR FURTHER INFORMATION CONTACT:
approval requirements which include Trading Commission (CFTC) is Commodity Futures Trading
an explanation and analysis when announcing an opportunity for public Commission, Three Lafayette Center,
seeking to implement new products, comment on the proposed extension of 1155 21st Street NW, Washington, DC
rules, and rule amendments, including a collection of certain information by 20581; Jacob Chachkin, Division of
changes to product terms and the agency. Under the Paperwork Swap Dealer and Intermediary
conditions. The Commission’s Reduction Act of 1995 (PRA), Federal Oversight, telephone: (202) 418–5496
regulations §§ 40.2, 40.3, 40.5, 40.6 and agencies are required to publish notice and email: jchachkin@cftc.gov.
40.10 provide procedures for the in the Federal Register concerning each SUPPLEMENTARY INFORMATION: Under the
submission of rules and rule proposed collection of information, PRA, 44 U.S.C. 3501 et seq., Federal
amendments by designated contract including each proposed extension of an agencies must obtain approval from the
markets, swap execution facilities, existing collection of information, and Office of Management and Budget
derivatives clearing organizations, and to allow 60 days for public comment in (OMB) for each collection of
swap data repositories. They establish response to the notice. This notice information they conduct or sponsor.
the procedures for submitting the solicits comments on rules related to ‘‘Collection of information’’ is defined
‘‘written certification’’ required by risk disclosure concerning exchange- in 44 U.S.C. 3502(3) and 5 CFR
Section 5c of the Act. In connection traded commodity options. 1320.3(c) and includes agency requests
with a product or rule certification, the DATES: Comments must be submitted on or requirements that members of the
registered entity must provide a concise or before August 6, 2018. public submit reports, keep records, or
explanation and analysis of the ADDRESSES: You may submit comments, provide information to a third party.
submission and its compliance with identified by OMB Control No. 3038– Section 3506(c)(2)(A) of the PRA, 44
statutory provisions of the Act. 0007 by any of the following methods: U.S.C. 3506(c)(2)(A), requires Federal
Accordingly, new rules or rule • The Agency’s website, via its agencies to provide a 60-day notice in
amendments must be accompanied by Comments Online process: http:// the Federal Register concerning each
concise explanations and analyses of the comments.cftc.gov. Follow the proposed collection of information,
purposes, operations, and effects of the instructions for submitting comments including each proposed extension of an
submissions. This information may be through the website. existing collection of information,
submitted as part of the same • Mail: Chris Kirkpatrick, Secretary of before submitting the collection to OMB
submission containing the required the Commission, Commodity Futures for approval. To comply with this
‘‘written certification.’’ The Commission Trading Commission, Three Lafayette requirement, the CFTC is publishing
estimates the average burden of this Centre, 1155 21st Street NW, notice of the proposed collection of
collection of information as follows: Washington, DC 20581. information listed below. An agency
• Rules 40.2, 40.3, 40.5, and 40.6 • Delivery/Courier: Same as Mail may not conduct or sponsor, and a
Estimated Number of Respondents: above. person is not required to respond to, a
70. Please submit your comments using collection of information unless it
Annual Responses by each only one method and identify that it is displays a currently valid OMB control
Respondent: 100. for the renewal of Collection Number number. The OMB control numbers for
Estimated Hours per Response: 2. 3038–0007. the Commission’s regulations were
Estimated Total Hours per Year: All comments must be submitted in published on December 30, 1981.2
14,000. English, or if not, accompanied by an Title: Rules Relating to Regulation of
English translation. Comments will be
sradovich on DSK3GMQ082PROD with NOTICES

• Rule 40.10 Domestic Exchange-Traded Options,
posted as received to http:// OMB Control Number 3038–0007—
Estimated Number of Respondents: 3.
www.cftc.gov. You should submit only Extension.
Annual Responses by each information that you wish to make
Respondent: 2. Abstract: The rules require futures
available publicly. If you wish the commission merchants and introducing
Estimated Hours per Response: 5. Commission to consider information
Estimated Total Hours per Year: 30. that you believe is exempt from 1 17 CFR 145.9, 74 FR 17395, (Apr. 15, 2009).
(Authority: 44 U.S.C. 3501 et seq.) disclosure under the Freedom of 2 46 FR 63035 (dec. 30, 1981).

VerDate Sep<11>2014 17:19 Jun 06, 2018 Jkt 244001 PO 00000 Frm 00028 Fmt 4703 Sfmt 4703 E:\FR\FM\07JNN1.SGM 07JNN1

Document Created: 2018-06-07 00:49:46
Document Modified: 2018-06-07 00:49:46

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 August 6, 2018.
Contact		Lois J. Gregory, Associate Director, Division of Market Oversight, Commodity Futures Trading Commission, (202) 418-5092; email: [email protected]
FR Citation		83 FR 26436