83_FR_64081 83 FR 63843 - Agency Information Collection Activities Under OMB Review

83 FR 63843 - Agency Information Collection Activities Under OMB Review

COMMODITY FUTURES TRADING COMMISSION

Federal Register Volume 83, Issue 238 (December 12, 2018)

Page Range63843-63846
FR Document2018-26848

In compliance with the Paperwork Reduction Act of 1995 (PRA), this notice announces that the Information Collection Request (``ICR'') abstracted below has been forwarded to the Office of Management and Budget (``OMB'') for review and comment. The ICR describes the nature of the information collection and its expected costs and burdens.

Federal Register, Volume 83 Issue 238 (Wednesday, December 12, 2018)
[Federal Register Volume 83, Number 238 (Wednesday, December 12, 2018)]
[Notices]
[Pages 63843-63846]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-26848]


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COMMODITY FUTURES TRADING COMMISSION


Agency Information Collection Activities Under OMB Review

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice.

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SUMMARY: In compliance with the Paperwork Reduction Act of 1995 (PRA), 
this notice announces that the Information Collection Request (``ICR'') 
abstracted below has been forwarded to the Office of Management and 
Budget (``OMB'') for review and comment. The ICR describes the nature 
of the information collection and its expected costs and burdens.

DATES: Comments must be submitted on or before January 11, 2019.

ADDRESSES: Comments regarding the burden estimate or any other aspect 
of the information collection, including suggestions for reducing the 
burden, may be submitted directly to the Office of Information and 
Regulatory Affairs (``OIRA'') in OMB within 30 days of publication of 
this notice by either of the methods specified below. Please identify 
the comments by ``OMB Control Numbers 3038-0023 and 3038-0072.''
     By email addressed to: [email protected]; or
     By mail addressed to: Office of Information and Regulatory 
Affairs, Office of Management and Budget, Attention Desk Officer for 
the Commodity Futures Trading Commission, 725 17th Street NW, 
Washington, DC 20503.
    A copy of all comments submitted to OIRA should be sent to the 
Commodity Futures Trading Commission (``Commission'') by any of the 
following methods. The copies should refer to

[[Page 63844]]

``OMB Control Numbers 3038-0023 and 3038-0072.''
     By mail addressed to: Christopher Kirkpatrick, Secretary 
of the Commission, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW, Washington, DC 20581;
     By Hand Delivery/Courier to the same address; or
     Through the Commission's website at http://comments.cftc.gov. Please follow the instructions for submitting 
comments through the website.
    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\ 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.
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    \1\ 17 CFR 145.9.
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    A copy of the supporting statements for the collections of 
information discussed herein may be obtained by visiting http://RegInfo.gov.

FOR FURTHER INFORMATION CONTACT: Christopher W. Cummings, Special 
Counsel, (202) 418-5445, [email protected], Division of Swap Dealer 
and Intermediary Oversight, Commodity Futures Trading Commission, 1155 
21st Street NW, Washington, DC 20581, and refer to OMB Control Numbers 
3038-0023 and 3038-0072.

SUPPLEMENTARY INFORMATION: 
    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: In Adoption of Revised Registration Form 8-R, 82 FR 19665 
(Apr. 28, 2017), the Commission published a revised version of 
Commission Form 8-R. The 8-R is the application form that individuals 
must use to register with the Commission as an associated person, floor 
broker, floor trader, floor trader order enterer, or to be listed as a 
principal of a registrant. Separately, in Agency Information Collection 
Activities: Proposed Collection Revision, Comment Request: Adoption of 
Revised Registration Form 8-R and Cancellation of Form 3-R, 82 FR 19663 
(Apr. 28, 2017) (``60-Day Notice''), the Commission addressed the PRA 
implications of the revisions to Form 8-R. The 60-Day Notice also 
addressed the PRA implications associated with formally cancelling 
Commission Form 3-R, a separate registration form that became obsolete 
after its function became available online and the Commission stopped 
requiring its use. As indicated above, Form 8-R is covered by two OMB 
control numbers. OMB control number 3038-0023 applies to Form 8-R in 
connection with registering as a floor broker or floor trader, or 
registering as an associated person of, or being listed as a principal 
of, a futures commission merchant, retail foreign exchange dealer, 
introducing broker, commodity trading advisor, commodity pool operator, 
floor trader firm or leverage transaction merchant.\2\ OMB control 
number 3038-0072 applies to Form 8-R in connection with applying to be 
listed as a principal of a swap dealer or major swap participant.\3\ In 
connection with the revision of Form 8-R, the Commission is amending 
collections 3038-0023 and 3038-0072 to reflect a modest increase in the 
information collection burdens associated with the new version of Form 
8-R. The Commission did not amend Form 7-R or its current burden, which 
is included as part of the overall burden estimates of collections 
3038-0023 and 3038-0072.
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    \2\ OMB control number 3038-0023 also covers Commission Forms 7-
R, 7-W and 8-T in connection with various registration activities 
involving floor brokers, floor traders, futures commission 
merchants, retail foreign exchange dealers, introducing brokers, 
commodity trading advisors, commodity pool operators, floor trader 
firms or leverage transaction merchants, and their principals and 
associated persons, as applicable. Forms 7-R, 7-W and 8-T were not 
amended in connection with the revision of Form 8-R.
    \3\ OMB control number 3038-0072 also covers Commission Forms 7-
R, 7-W and 8-T in connection with various registration activities 
involving swap dealers and major swap participants, and principals 
thereof. Forms 7-R, 7-W and 8-T were not amended in connection with 
the revision of Form 8-R.
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I. Commission Form 8-R

    The Commission made three substantive changes to the Form 8-R that 
increased the existing information collection burden under the PRA: Two 
new questions were added to the ``Fingerprint Card Information'' 
section; a new question was added to the section titled ``Disciplinary 
Information--Regulatory Disclosures;'' and, lastly, one of the 
questions in the section titled ``Disciplinary Information--Financial 
Disclosures'' was expanded. Additionally, the revised Form 8-R also 
contains several other substantive modifications, as well as numerous 
grammatical, organizational and formatting changes.\4\ These other 
changes, whether considered individually or in aggregate, do not alter 
the information collection burdens for Form 8-R. All of the changes to 
Commission Form 8-R that are summarized above are discussed in detail 
in the 60-Day Notice.
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    \4\ The Commission has recently made a series of additional non-
substantive changes to Form 8-R. The FBI Privacy Act Statement and 
the Noncriminal Justice Applicant's Privacy Rights Disclosure are 
added to Form 8-R. Both sets of disclosures are related to the 
preexisting requirement that applicants have their fingerprints 
taken in connection with registration. Also, there are several 
grammatical changes and changes to specific verbiage, none of which 
are substantive.
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    The collections of information related to Form 8-R were previously 
approved by OMB in accordance with the PRA under OMB control numbers 
3038-0023 and 3038-0072. In the 60-Day Notice, the Commission addressed 
the PRA implications of the changes to Commission Form 8-R. 
Specifically, the Commission estimated that the three substantive 
changes to Form 8-R discussed above together add 0.1 hours to the 
existing information collection burden associated with Form 8-R, 
currently 0.8 hours, resulting in a new collection burden of 0.9 hours 
for Form 8-R, subject to the additional change to the collection burden 
discussed below. The information requested in Form 8-R is necessary to 
assess the applicant's fitness to engage in business as a derivatives 
professional, subject to regulation and oversight by the Commission. 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. As noted below, the Commission requested 
comments on the changes to Form 8-R.

[[Page 63845]]

II. Commission Form 3-R

    Firms and individuals historically were required to use Form 3-R to 
update or change the registration information that they previously 
supplied on either a Form 7-R or 8-R. The Commission no longer requires 
firms and individuals to use Form 3-R. Updating registration 
information is now accomplished online, directly via electronic 
versions of Commission Forms 7-R or 8-R. In light of the obsolescence 
of Form 3-R, the Commission proposed in the 60-Day Notice to formally 
cancel the 3-R for PRA purposes, and to reassign to Forms 7-R and 8-R 
the information collection burdens that had been associated with Form 
3-R.
    The collection of information related to Form 3-R was previously 
approved by OMB in accordance with the PRA under OMB control number 
3038-0023. 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 an additional 0.1 hours should be assigned to 
the Form 7-R and 8-R.\5\ The reassignment of the information collection 
burden for the Form 3-R simply reallocates a portion of the existing 
information collection burden within OMB control number 3038-0023, but 
it does not increase or decrease the total information collection 
burden under that control number. Accordingly, the information 
collection burden for Form 8-R under OMB control number 3038-0023 is 
1.0 hour, which consists of the previous estimate of 0.8 hours, plus an 
additional 0.1 hours associated with the amendments to the 8-R, and 
plus an additional 0.1 hours associated with the functionality that 
previously could be attributed to Form 3-R.
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    \5\ The Commission anticipates revising its Form 7-R in the 
immediate future. The PRA implications of the amendments to Form 7-R 
for OMB control numbers 3038-0023 and 3038-0072, including 
accounting for burden hours associated with former Form 3-R, will be 
addressed at that time.
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    OMB control number 3038-0072 previously did not account for the 
burden hours associated with Form 3-R. The information collection 
burden for Form 8-R under OMB control number 3038-0072 should be 
modified to address the fact that the functionality of former Form 3-R 
now exists in the electronic version of Form 8-R. The Commission 
believes that the burden hours for Form 8-R should be increased by 0.1 
hours under OMB control number 3038-0072 as well. Accordingly, the 
information collection burden for Form 8-R under OMB control number 
3038-0072 is 1.0 hour, which consists of the previous estimate of 0.8 
hours, plus an additional 0.1 hours associated with the amendments to 
the 8-R, and plus an additional 0.1 hours associated with the 
functionality that previously could be attributed to Form 3-R.

III. Comments

    In the 60-Day Notice, the Commission requested comments on, among 
other things, its estimates regarding the modified information 
collection burdens associated with the amendments to Form 8-R and the 
cancellation of Form 3-R. The Commission did not receive any comments 
that addressed any of its estimates or any other aspect of the 
information collection.
    Burden statement: As explained above, the Commission believes that 
the revisions to Form 8-R increase the information collection burdens 
for that form under OMB control numbers 3038-0023 and 3038-0072. 
Additionally, the Commission believes that reassigning to Form 8-R the 
information collection burden formerly associated with Commission Form 
3-R reallocates the existing information collection burdens within OMB 
control number 3038-0023, and therefore does not alter the total 
information collection burden under that control number. Lastly, the 
Commission believes that updating the information collection burden 
under OMB control number 3038-0072 to account for the fact that the 
functionality of former Form 3-R is included in Form 8-R, will cause an 
additional modest increase in the 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: 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; (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: 78,055.\6\
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    \6\ The revisions to Form 8-R do not change the estimated number 
of respondents. However, regarding the estimated number of 
respondents for OMB Control No. 3038-0023, the estimate in the 60-
Day Notice incorrectly stated that there were 78,109 respondents, 
which was the total number of responses. The correct estimate at 
that time was 77,857. An additional 198 respondents were added under 
ICR Ref. No. 201604-3038-003, related to changes made by the 
Alternative to Fingerprinting Requirement For Foreign Natural 
Persons final rule. As a result, the total estimated number of 
respondents currently is 78,055.
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    Estimated total annual burden on respondents: 7,735 hours.\7\
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    \7\ Regarding the estimated total annual burden hours on 
respondents, the estimate in 60-Day Notice was 7,210, which 
consisted of the previous burden of 7,030 (from ICR Ref. No. 201412-
3038-002), which was temporarily rounded down to 7,000 for the 
purposes of calculating the burden associated with Form 8-R, plus an 
additional 210 hours attributable to the revisions to Form 8-R. The 
30-day notice eliminates the temporary rounding utilized in the 60-
day notice and adds the 30 burden hours back into the total. The 30-
day notice also includes an additional 495 hours that were added to 
the collection under ICR Ref. No. 201604-3038-003, related to 
changes made by the Alternative to Fingerprinting Requirement For 
Foreign Natural Persons final rule. As a result, the estimated total 
annual burden on respondents currently is 7,735. This estimate 
includes the collection burdens associated with Forms 7-R, 7-W, 8-R 
and 8-T, based on the historical practice of the Commission of 
addressing the burden estimates in aggregate, rather than separately 
on a form-by-form basis, for all of the registration forms: Forms 7-
R, 7-W, 8-R, and 8-W.
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    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: Users of Form 8-R, specifically 
principals of swap dealers and of major swap participants.
    Estimated number of respondents: 772.\8\
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    \8\ Regarding the estimated number of respondents for OMB 
Control No. 3038-0072, the estimate in 60-Day Notice was 770. An 
additional 2 respondents were added to the collection under ICR Ref. 
No. 201603-3038-006, related to changes made by the Alternative to 
Fingerprinting Requirement For Foreign Natural Persons final rule. 
As a result, the total estimated number of respondents currently is 
772. The revisions to Form 8-R do not change the estimated number of 
respondents.
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    Estimated total annual burden on respondents: 672 hours.\9\
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    \9\ Regarding the estimated total annual burden on respondents, 
the estimate in 60-Day Notice was 648, which consisted of the 
previous burden of 629 (from ICR Ref. No. 201512-3038-015), plus an 
additional 19 hours attributable to the revisions to Form 8-R. An 
additional 5 hours were added under ICR Ref. No. 201603-3038-006, 
related to changes made by the Alternative to Fingerprinting 
Requirement For Foreign Natural Persons final rule. Also, an 
additional 19 hours are being added to account for the functionality 
in the Form 8-R that previously could have been attributed to the 
now-obsolete Form 3-R. As a result, the estimated total annual 
burden on respondents currently is 672. This estimate includes the 
collection burdens associated with Forms 7-R, 7-W, 8-R and 8-T, 
based on the historical practice of the Commission of addressing the 
burden estimates in aggregate, rather than separately on a form-by-
form basis, for all of the registration forms: Forms 7-R, 7-W, 8-R, 
and 8-W.

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[[Page 63846]]

    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: December 6, 2018.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2018-26848 Filed 12-11-18; 8:45 am]
 BILLING CODE 6351-01-P



                                                                               Federal Register / Vol. 83, No. 238 / Wednesday, December 12, 2018 / Notices                                                                                   63843

                                                                                                                                             Estimated time              Estimated         Estimated                Rate                Respondent
                                                      IC No.                    Information collection instrument                             for response                 annual            annual                 ($/hr)                 cost
                                                                                                                                                 (hours)                 responses        burden hours

                                                                                                                                                      (a)                     (b)         (a) × (b) = (c)             (d)               (c) × (d) = (e)

                                              1 ........................   Recordkeeping Maintenance & Disclo-                                                     1            10,825            10,825                    $284           $3,074,300
                                                                            sure (includes advertisements, dis-
                                                                            closure requirements relating to so-
                                                                            liciting professional employment, no-
                                                                            tifications by non-attorney practi-
                                                                            tioner of inadvertently sent docu-
                                                                            ments, and financial books and
                                                                            records such as trust accounts, fidu-
                                                                            ciary accounts, and operating ac-
                                                                            counts).
                                              2 ........................   Recordkeeping Maintenance Regard-                                                     20                 40               800                      438             350,400
                                                                            ing Practitioners Under Suspension
                                                                            or Exclusion from the USPTO.
                                              3 ........................   Complaint/Violation Reporting ..............                                            3                200              600                      303             181,800

                                                    Total ...........      ...............................................................   ........................           11,065            12,225     ........................       3,606,500



                                                 Estimated Total Annual (Non-hour)                                        for this collection, in the form of postage                       COMMODITY FUTURES TRADING
                                              Respondent Cost Burden: $1,244.35.                                          costs, is $1,244.35 per year.                                     COMMISSION
                                              There are no capital start-up or
                                              maintenance costs as well as no filing                                      IV. Request for Comments                                          Agency Information Collection
                                              fees associated with this information                                         Comments are invited on:                                        Activities Under OMB Review
                                              collection. Any recordkeeping costs                                                                                                           AGENCY: Commodity Futures Trading
                                              have been factored into the estimated                                         (a) Whether the proposed collection of
                                                                                                                          information is necessary for the proper                           Commission.
                                              hourly cost burden. There are, however,
                                                                                                                          performance of the functions of the                               ACTION: Notice.
                                              postage costs associated with this
                                              collection.                                                                 agency, including whether the                                     SUMMARY:   In compliance with the
                                                                                                                          information shall have practical utility;                         Paperwork Reduction Act of 1995
                                                 Customers may incur postage costs
                                              when submitting the items covered by                                          (b) the accuracy of the agency’s                                (PRA), this notice announces that the
                                              this collection to the USPTO by mail.                                       estimate of the burden (including hours                           Information Collection Request (‘‘ICR’’)
                                              The USPTO expects that 20 percent of                                        and cost) of the proposed collection of                           abstracted below has been forwarded to
                                              the Recordkeeping Maintenance &                                             information, including the validity of                            the Office of Management and Budget
                                              Disclosure item; 0 percent of the                                           the methodology and assumptions used;                             (‘‘OMB’’) for review and comment. The
                                              Recordkeeping Maintenance Regarding                                           (c) ways to enhance the quality,                                ICR describes the nature of the
                                              Practitioners Under Suspension or                                           utility, and clarity of the information to                        information collection and its expected
                                              Exclusion item; and 25 percent of the                                                                                                         costs and burdens.
                                                                                                                          be collected; and
                                              Complaint/Violation Reporting item                                                                                                            DATES: Comments must be submitted on
                                                                                                                            (d) ways to minimize the burden of                              or before January 11, 2019.
                                              will be submitted electronically. The
                                                                                                                          the collection of information on                                  ADDRESSES: Comments regarding the
                                              USPTO further expects that of the non-
                                              electronic submissions for this                                             respondents, including through the use                            burden estimate or any other aspect of
                                              collection, 1 percent of each item’s total                                  of automated collection techniques or                             the information collection, including
                                              responses will be submitted by hand                                         other forms of information technology,                            suggestions for reducing the burden,
                                              delivery and the rest will be submitted                                     e.g., permitting electronic submission of                         may be submitted directly to the Office
                                              by mail, for a total of 187 mailed                                          responses.                                                        of Information and Regulatory Affairs
                                              submissions.                                                                  Comments submitted in response to                               (‘‘OIRA’’) in OMB within 30 days of
                                                 The average first-class USPS postage                                     this notice will be summarized or                                 publication of this notice by either of
                                              cost for a one-pound mailed submission                                      included in the request for OMB                                   the methods specified below. Please
                                              in a flat-rate envelope and a three-                                        approval of this information collection;                          identify the comments by ‘‘OMB Control
                                              pound mailed submission in a small                                          they will also become a matter of public                          Numbers 3038–0023 and 3038–0072.’’
                                                                                                                          record.                                                              • By email addressed to:
                                              flat-rate box are $6.55 and $7.05,
                                                                                                                                                                                            OIRAsubmissions@omb.eop.gov; or
                                              respectively. 25 percent of the mailed                                      Marcie Lovett,                                                       • By mail addressed to: Office of
                                              Recordkeeping Maintenance &                                                                                                                   Information and Regulatory Affairs,
                                                                                                                          Director, Records and Information
                                              Disclosure items are expected to require                                                                                                      Office of Management and Budget,
                                                                                                                          Governance Division, Office of the Chief
                                              the more expensive flat-rate box mailing                                                                                                      Attention Desk Officer for the
                                                                                                                          Administrative Officer, United States Patent
                                              option, while all other items are                                           and Trademark Office.                                             Commodity Futures Trading
amozie on DSK3GDR082PROD with NOTICES1




                                              expected to be mailed using the flat-rate                                                                                                     Commission, 725 17th Street NW,
                                                                                                                          [FR Doc. 2018–26846 Filed 12–11–18; 8:45 am]
                                              envelope. Using these numbers, the                                                                                                            Washington, DC 20503.
                                                                                                                          BILLING CODE 3510–16–P
                                              USPTO estimates that the postage costs                                                                                                           A copy of all comments submitted to
                                              for the mailed submissions in this                                                                                                            OIRA should be sent to the Commodity
                                              collection will total $1,244.35.                                                                                                              Futures Trading Commission
                                                 Therefore, the USPTO estimates that                                                                                                        (‘‘Commission’’) by any of the following
                                              the total annual (non-hour) cost burden                                                                                                       methods. The copies should refer to


                                         VerDate Sep<11>2014         18:39 Dec 11, 2018         Jkt 247001        PO 00000        Frm 00019       Fmt 4703        Sfmt 4703   E:\FR\FM\12DEN1.SGM   12DEN1


                                              63844                     Federal Register / Vol. 83, No. 238 / Wednesday, December 12, 2018 / Notices

                                              ‘‘OMB Control Numbers 3038–0023 and                      currently approved information                        of collections 3038–0023 and 3038–
                                              3038–0072.’’                                             collections.                                          0072.
                                                 • By mail addressed to: Christopher                      Abstract: In Adoption of Revised
                                              Kirkpatrick, Secretary of the                            Registration Form 8–R, 82 FR 19665                    I. Commission Form 8–R
                                              Commission, Commodity Futures                            (Apr. 28, 2017), the Commission                          The Commission made three
                                              Trading Commission, Three Lafayette                      published a revised version of
                                                                                                                                                             substantive changes to the Form 8–R
                                              Centre, 1155 21st Street NW,                             Commission Form 8–R. The 8–R is the
                                                                                                                                                             that increased the existing information
                                              Washington, DC 20581;                                    application form that individuals must
                                                                                                                                                             collection burden under the PRA: Two
                                                 • By Hand Delivery/Courier to the                     use to register with the Commission as
                                                                                                       an associated person, floor broker, floor             new questions were added to the
                                              same address; or
                                                                                                                                                             ‘‘Fingerprint Card Information’’ section;
                                                 • Through the Commission’s website                    trader, floor trader order enterer, or to be
                                              at http://comments.cftc.gov. Please                      listed as a principal of a registrant.                a new question was added to the section
                                              follow the instructions for submitting                   Separately, in Agency Information                     titled ‘‘Disciplinary Information—
                                              comments through the website.                            Collection Activities: Proposed                       Regulatory Disclosures;’’ and, lastly, one
                                                 Please submit your comments using                     Collection Revision, Comment Request:                 of the questions in the section titled
                                              only one method. All comments must be                    Adoption of Revised Registration Form                 ‘‘Disciplinary Information—Financial
                                              submitted in English, or if not,                         8–R and Cancellation of Form 3–R, 82                  Disclosures’’ was expanded.
                                              accompanied by an English translation.                   FR 19663 (Apr. 28, 2017) (‘‘60-Day                    Additionally, the revised Form 8–R also
                                              Comments will be posted as received to                   Notice’’), the Commission addressed the               contains several other substantive
                                              http://www.cftc.gov. You should submit                   PRA implications of the revisions to                  modifications, as well as numerous
                                              only information that you wish to make                   Form 8–R. The 60-Day Notice also                      grammatical, organizational and
                                              available publicly. If you wish the                      addressed the PRA implications                        formatting changes.4 These other
                                              Commission to consider information                       associated with formally cancelling                   changes, whether considered
                                              that you believe is exempt from                          Commission Form 3–R, a separate                       individually or in aggregate, do not alter
                                              disclosure under the Freedom of                          registration form that became obsolete                the information collection burdens for
                                              Information Act, a petition for                          after its function became available                   Form 8–R. All of the changes to
                                              confidential treatment of the exempt                     online and the Commission stopped                     Commission Form 8–R that are
                                              information may be submitted according                   requiring its use. As indicated above,                summarized above are discussed in
                                              to the procedures established in § 145.9                 Form 8–R is covered by two OMB                        detail in the 60-Day Notice.
                                              of the Commission’s regulations.1 The                    control numbers. OMB control number
                                                                                                       3038–0023 applies to Form 8–R in                         The collections of information related
                                              Commission reserves the right, but shall                                                                       to Form 8–R were previously approved
                                              have no obligation, to review, pre-                      connection with registering as a floor
                                                                                                       broker or floor trader, or registering as             by OMB in accordance with the PRA
                                              screen, filter, redact, refuse or remove
                                                                                                       an associated person of, or being listed              under OMB control numbers 3038–0023
                                              any or all of your submission from
                                                                                                       as a principal of, a futures commission               and 3038–0072. In the 60-Day Notice,
                                              http://www.cftc.gov that it may deem to
                                                                                                       merchant, retail foreign exchange                     the Commission addressed the PRA
                                              be inappropriate for publication, such as
                                                                                                       dealer, introducing broker, commodity                 implications of the changes to
                                              obscene language. All submissions that
                                              have been redacted or removed that                       trading advisor, commodity pool                       Commission Form 8–R. Specifically, the
                                              contain comments on the merits of the                    operator, floor trader firm or leverage               Commission estimated that the three
                                              ICR will be retained in the public                       transaction merchant.2 OMB control                    substantive changes to Form 8–R
                                              comment file and will be considered as                   number 3038–0072 applies to Form                      discussed above together add 0.1 hours
                                              required under the Administrative                        8–R in connection with applying to be                 to the existing information collection
                                              Procedure Act and other applicable                       listed as a principal of a swap dealer or             burden associated with Form 8–R,
                                              laws, and may be accessible under the                    major swap participant.3 In connection                currently 0.8 hours, resulting in a new
                                              Freedom of Information Act.                              with the revision of Form 8–R, the                    collection burden of 0.9 hours for Form
                                                 A copy of the supporting statements                   Commission is amending collections                    8–R, subject to the additional change to
                                              for the collections of information                       3038–0023 and 3038–0072 to reflect a                  the collection burden discussed below.
                                              discussed herein may be obtained by                      modest increase in the information                    The information requested in Form 8–R
                                              visiting http://RegInfo.gov.                             collection burdens associated with the                is necessary to assess the applicant’s
                                                                                                       new version of Form 8–R. The                          fitness to engage in business as a
                                              FOR FURTHER INFORMATION CONTACT:
                                                                                                       Commission did not amend Form 7–R                     derivatives professional, subject to
                                              Christopher W. Cummings, Special
                                                                                                       or its current burden, which is included              regulation and oversight by the
                                              Counsel, (202) 418–5445, ccummings@
                                                                                                       as part of the overall burden estimates               Commission. An agency may not
                                              cftc.gov, Division of Swap Dealer and
                                              Intermediary Oversight, Commodity                                                                              conduct or sponsor, and a person is not
                                                                                                          2 OMB control number 3038–0023 also covers
                                              Futures Trading Commission, 1155 21st                                                                          required to respond to, a collection of
                                                                                                       Commission Forms 7–R, 7–W and 8–T in
                                              Street NW, Washington, DC 20581, and                     connection with various registration activities       information unless it displays a
                                              refer to OMB Control Numbers 3038–                       involving floor brokers, floor traders, futures       currently valid OMB control number. As
                                                                                                       commission merchants, retail foreign exchange         noted below, the Commission requested
                                              0023 and 3038–0072.                                      dealers, introducing brokers, commodity trading
                                              SUPPLEMENTARY INFORMATION:                               advisors, commodity pool operators, floor trader
                                                                                                                                                             comments on the changes to Form 8–R.
                                                 Titles: Registration Under the                        firms or leverage transaction merchants, and their
                                                                                                       principals and associated persons, as applicable.       4 The Commission has recently made a series of
                                              Commodity Exchange Act (OMB control
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                                                                                                       Forms 7–R, 7–W and 8–T were not amended in            additional non-substantive changes to Form 8–R.
                                              number 3038–0023); Registration of                       connection with the revision of Form 8–R.             The FBI Privacy Act Statement and the Noncriminal
                                              Swap Dealers and Major Swap                                 3 OMB control number 3038–0072 also covers         Justice Applicant’s Privacy Rights Disclosure are
                                              Participants (OMB control number                         Commission Forms 7–R,                                 added to Form 8–R. Both sets of disclosures are
                                              3038–0072). This is a request for                        7–W and 8–T in connection with various                related to the preexisting requirement that
                                                                                                       registration activities involving swap dealers and    applicants have their fingerprints taken in
                                              extension and revision of these                          major swap participants, and principals thereof.      connection with registration. Also, there are several
                                                                                                       Forms 7–R, 7–W and 8–T were not amended in            grammatical changes and changes to specific
                                                1 17   CFR 145.9.                                      connection with the revision of Form 8–R.             verbiage, none of which are substantive.



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                                                                       Federal Register / Vol. 83, No. 238 / Wednesday, December 12, 2018 / Notices                                                     63845

                                              II. Commission Form 3–R                                 which consists of the previous estimate                 Estimated total annual burden on
                                                 Firms and individuals historically                   of 0.8 hours, plus an additional 0.1                  respondents: 7,735 hours.7
                                              were required to use Form 3–R to                        hours associated with the amendments                    Frequency of collection: Periodically.
                                                                                                      to the 8–R, and plus an additional 0.1                  There are no capital costs or operating
                                              update or change the registration
                                                                                                      hours associated with the functionality               and maintenance costs associated with
                                              information that they previously
                                                                                                      that previously could be attributed to                this collection.
                                              supplied on either a Form 7–R or 8–R.                                                                           The Commission estimates the burden
                                              The Commission no longer requires                       Form 3–R.
                                                                                                                                                            of this collection of information under
                                              firms and individuals to use Form 3–R.                  III. Comments                                         OMB control number 3038–0072 to be:
                                              Updating registration information is                                                                            Respondents/affected entities: Users
                                                                                                         In the 60-Day Notice, the Commission
                                              now accomplished online, directly via                                                                         of Form 8–R, specifically principals of
                                                                                                      requested comments on, among other
                                              electronic versions of Commission                                                                             swap dealers and of major swap
                                                                                                      things, its estimates regarding the
                                              Forms 7–R or 8–R. In light of the                                                                             participants.
                                                                                                      modified information collection
                                              obsolescence of Form 3–R, the                                                                                   Estimated number of respondents:
                                                                                                      burdens associated with the
                                              Commission proposed in the 60-Day                                                                             772.8
                                                                                                      amendments to Form 8–R and the
                                              Notice to formally cancel the 3–R for                                                                           Estimated total annual burden on
                                                                                                      cancellation of Form 3–R. The
                                              PRA purposes, and to reassign to Forms                                                                        respondents: 672 hours.9
                                                                                                      Commission did not receive any
                                              7–R and 8–R the information collection
                                                                                                      comments that addressed any of its
                                              burdens that had been associated with                                                                         60-Day Notice incorrectly stated that there were
                                                                                                      estimates or any other aspect of the                  78,109 respondents, which was the total number of
                                              Form 3–R.
                                                 The collection of information related                information collection.                               responses. The correct estimate at that time was
                                                                                                         Burden statement: As explained                     77,857. An additional 198 respondents were added
                                              to Form 3–R was previously approved                                                                           under ICR Ref. No. 201604–3038–003, related to
                                              by OMB in accordance with the PRA                       above, the Commission believes that the               changes made by the Alternative to Fingerprinting
                                              under OMB control number 3038–0023.                     revisions to Form 8–R increase the                    Requirement For Foreign Natural Persons final rule.
                                              The information collection burden                       information collection burdens for that               As a result, the total estimated number of
                                                                                                      form under OMB control numbers                        respondents currently is 78,055.
                                              associated with Form 3–R is 0.1 hours.                                                                           7 Regarding the estimated total annual burden
                                              In reassigning that burden to Forms                     3038–0023 and 3038–0072.
                                                                                                                                                            hours on respondents, the estimate in 60-Day
                                              7–R and 8–R, the Commission believes                    Additionally, the Commission believes                 Notice was 7,210, which consisted of the previous
                                              that an additional 0.1 hours should be                  that reassigning to Form 8–R the                      burden of 7,030 (from ICR Ref. No. 201412–3038–
                                              assigned to the Form 7–R and 8–R.5 The                  information collection burden formerly                002), which was temporarily rounded down to
                                                                                                      associated with Commission Form 3–R                   7,000 for the purposes of calculating the burden
                                              reassignment of the information                                                                               associated with Form 8–R, plus an additional 210
                                              collection burden for the Form 3–R                      reallocates the existing information                  hours attributable to the revisions to Form 8–R. The
                                              simply reallocates a portion of the                     collection burdens within OMB control                 30-day notice eliminates the temporary rounding
                                              existing information collection burden                  number 3038–0023, and therefore does                  utilized in the 60-day notice and adds the 30
                                                                                                      not alter the total information collection            burden hours back into the total. The 30-day notice
                                              within OMB control number 3038–0023,                                                                          also includes an additional 495 hours that were
                                              but it does not increase or decrease the                burden under that control number.                     added to the collection under ICR Ref. No. 201604–
                                              total information collection burden                     Lastly, the Commission believes that                  3038–003, related to changes made by the
                                              under that control number. Accordingly,                 updating the information collection                   Alternative to Fingerprinting Requirement For
                                                                                                      burden under OMB control number                       Foreign Natural Persons final rule. As a result, the
                                              the information collection burden for                                                                         estimated total annual burden on respondents
                                              Form 8–R under OMB control number                       3038–0072 to account for the fact that                currently is 7,735. This estimate includes the
                                              3038–0023 is 1.0 hour, which consists                   the functionality of former Form 3–R is               collection burdens associated with Forms 7–R,
                                              of the previous estimate of 0.8 hours,                  included in Form 8–R, will cause an                   7–W, 8–R and 8–T, based on the historical practice
                                                                                                      additional modest increase in the                     of the Commission of addressing the burden
                                              plus an additional 0.1 hours associated                                                                       estimates in aggregate, rather than separately on a
                                              with the amendments to the 8–R, and                     information collection burden under                   form-by-form basis, for all of the registration forms:
                                              plus an additional 0.1 hours associated                 that control number.                                  Forms 7–R, 7–W, 8–R, and 8–W.
                                              with the functionality that previously                     The Commission estimates the burden                   8 Regarding the estimated number of respondents

                                                                                                      of this collection of information under               for OMB Control No. 3038–0072, the estimate in 60-
                                              could be attributed to Form 3–R.                                                                              Day Notice was 770. An additional 2 respondents
                                                 OMB control number 3038–0072                         OMB control number 3038–0023 to be:                   were added to the collection under ICR Ref. No.
                                              previously did not account for the                         Respondents/affected entities: Users               201603–3038–006, related to changes made by the
                                              burden hours associated with Form                       of Form 8–R, specifically (i) associated              Alternative to Fingerprinting Requirement For
                                                                                                      persons of futures commission                         Foreign Natural Persons final rule. As a result, the
                                              3–R. The information collection burden                                                                        total estimated number of respondents currently is
                                              for Form 8–R under OMB control                          merchants, retail foreign exchange                    772. The revisions to Form 8–R do not change the
                                              number 3038–0072 should be modified                     dealers, introducing brokers, commodity               estimated number of respondents.
                                              to address the fact that the functionality              trading advisors, commodity pool                         9 Regarding the estimated total annual burden on


                                              of former Form 3–R now exists in the                    operators, and leverage transaction                   respondents, the estimate in 60-Day Notice was 648,
                                                                                                      merchants; (ii) principals of futures                 which consisted of the previous burden of 629
                                              electronic version of Form 8–R. The                                                                           (from ICR Ref. No. 201512–3038–015), plus an
                                              Commission believes that the burden                     commission merchants, retail foreign                  additional 19 hours attributable to the revisions to
                                              hours for Form 8–R should be increased                  exchange dealers, introducing brokers,                Form 8–R. An additional 5 hours were added under
                                              by 0.1 hours under OMB control                          commodity trading advisors, commodity                 ICR Ref. No. 201603–3038–006, related to changes
                                                                                                      pool operators, floor trader firms, or                made by the Alternative to Fingerprinting
                                              number 3038–0072 as well.                                                                                     Requirement For Foreign Natural Persons final rule.
                                              Accordingly, the information collection                 leverage transaction merchants; (iii)                 Also, an additional 19 hours are being added to
                                              burden for Form 8–R under OMB                           floor brokers; (iv) floor traders; and (v)            account for the functionality in the Form 8–R that
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                                              control number 3038–0072 is 1.0 hour,                   floor trader order enterers.                          previously could have been attributed to the now-
                                                                                                         Estimated number of respondents:                   obsolete Form 3–R. As a result, the estimated total
                                                                                                                                                            annual burden on respondents currently is 672.
                                                5 The Commission anticipates revising its Form        78,055.6                                              This estimate includes the collection burdens
                                              7–R in the immediate future. The PRA implications                                                             associated with Forms 7–R, 7–W, 8–R and 8–T,
                                              of the amendments to Form 7–R for OMB control             6 The revisions to Form 8–R do not change the       based on the historical practice of the Commission
                                              numbers 3038–0023 and 3038–0072, including              estimated number of respondents. However,             of addressing the burden estimates in aggregate,
                                              accounting for burden hours associated with former      regarding the estimated number of respondents for     rather than separately on a form-by-form basis, for
                                              Form 3–R, will be addressed at that time.               OMB Control No. 3038–0023, the estimate in the                                                    Continued




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                                              63846                    Federal Register / Vol. 83, No. 238 / Wednesday, December 12, 2018 / Notices

                                                Frequency of collection: Periodically.                 SUPPLEMENTARY INFORMATION:       The OMB              DEPARTMENT OF DEFENSE
                                                There are no capital costs or operating                is particularly interested in comments
                                              and maintenance costs associated with                    which:                                                Defense Acquisition Regulations
                                              this collection.                                                                                               System
                                                                                                          • Evaluate whether the proposed
                                              (Authority: 44 U.S.C. 3501 et seq.)                      collection of information is necessary                [Docket DARS–2018–0057]
                                                Dated: December 6, 2018.                               for the proper performance of the                     RIN 0750–AK36
                                              Robert Sidman,                                           functions of CNCS, including whether
                                              Deputy Secretary of the Commission.                      the information will have practical                   Defense Federal Acquisition
                                              [FR Doc. 2018–26848 Filed 12–11–18; 8:45 am]
                                                                                                       utility;                                              Regulation Supplement: Contract
                                                                                                          • Evaluate the accuracy of the                     Financing (DFARS Case 2019–D001);
                                              BILLING CODE 6351–01–P
                                                                                                       agency’s estimate of the burden of the                Public Meetings
                                                                                                       proposed collection of information,                   AGENCY: Defense Acquisition
                                                                                                       including the validity of the                         Regulations System, Department of
                                              CORPORATION FOR NATIONAL AND                             methodology and assumptions;                          Defense (DoD).
                                              COMMUNITY SERVICE
                                                                                                          • Propose ways to enhance the                      ACTION: Announcement of public
                                                                                                       quality, utility, and clarity of the                  meetings.
                                              Agency Information Collection
                                              Activities; Submission to the Office of                  information to be collected; and
                                                                                                                                                             SUMMARY:   DoD is hosting several public
                                              Management and Budget for Review                            • Propose ways to minimize the                     meetings to obtain views of experts and
                                              and Approval; Comment Request;                           burden of the collection of information               interested parties in Government and
                                              AmeriCorps Member Application;                           on those who are to respond, including                the private sector regarding revising
                                              Proposed Information Collection;                         through the use of appropriate                        policies and procedures for contract
                                              Comment Request                                          automated, electronic, mechanical, or                 financing, performance incentives, and
                                                                                                       other technological collection                        associated regulations for DoD contracts.
                                              AGENCY: Corporation for National and
                                              Community Service.                                       techniques or other forms of information              DATES:
                                                                                                       technology.                                              Public Meeting Dates: The public
                                              ACTION: Notice.
                                                                                                                                                             meetings will be held on the following
                                                                                                       Comments                                              dates:
                                              SUMMARY:    The Corporation for National
                                              and Community Service (CNCS) has                            A 60-day Notice requesting public                     • January 10, 2019, from 9:00 a.m. to
                                              submitted a public information                           comment was published in the Federal                  12:00 p.m., EST.
                                              collection request (ICR) entitled                                                                                 • January 22, 2019, from 1:30 p.m. to
                                                                                                       Register on October 2, 2018 at 83 FR
                                              AmeriCorps Member Application for                                                                              4:30 p.m., EST.
                                                                                                       49550. This comment period ended
                                                                                                                                                                • February 19, 2019, from 1:00 p.m.
                                              review and approval in accordance with                   December 3, 2018. No public comments                  to 4:00 p.m., EST.
                                              the Paperwork Reduction Act.                             were received from this Notice.                          Registration Dates: Registration to
                                              DATES: Comments may be submitted,                           Title of Collection: AmeriCorps                    attend the public meetings must be
                                              identified by the title of the information               Member Application.                                   received no later than close of business
                                              collection activity, by January 11, 2019.                                                                      on the following dates:
                                                                                                          OMB Control Number: 3045–0054.
                                              ADDRESSES: Comments may be                               Type of Review: Renewal.                                 • January 3, 2019, for the meeting on
                                              submitted, identified by the title of the                                                                      January 10th.
                                              information collection activity, to the                     Respondents/Affected Public:                          • January 15, 2019, for the meeting on
                                              Office of Information and Regulatory                     Individuals.                                          January 22nd.
                                              Affairs, Attn: Ms. Sharon Mar, OMB                          Total Estimated Number of Annual                      • February 12, 2019, for the meeting
                                              Desk Officer for the Corporation for                     Responses: 250,000.                                   on February 19th.
                                              National and Community Service, by                                                                                Information on how to register for the
                                                                                                          Total Estimated Number of Annual                   public meetings is provided in the
                                              any of the following two methods                         Burden Hours: 281,250.
                                              within 30 days from the date of                                                                                SUPPLEMENTARY INFORMATION section of
                                              publication in the Federal Register:                        Abstract: Currently, CNCS is                       this notice.
                                                 (1) By fax to: 202–395–6974,                          soliciting comments concerning its                    ADDRESSES: The three public meetings
                                              Attention: Ms. Sharon Mar, OMB Desk                      proposed renewal of the AmeriCorps                    will be held in the Mark Center
                                              Officer for the Corporation for National                 Member Application Form. Applicants                   Auditorium, 4800 Mark Center Drive,
                                              and Community Service; or                                will respond to the questions included                Alexandria, VA 22350–3603. The Mark
                                                 (2) By email to: smar@omb.eop.gov.                    in this ICR in order to apply to serve as             Center Auditorium is located on level
                                              FOR FURTHER INFORMATION CONTACT:                         AmeriCorps members. CNCS also seeks                   B–1 of the building.
                                              Copies of this ICR, with applicable                      to continue using the current                         FOR FURTHER INFORMATION CONTACT: Ms.
                                              supporting documentation, may be                         application until the revised application             Amy Williams, DPC/DARS, at 571–372–
                                              obtained by calling the Corporation for                  is approved by OMB. The current                       6106.
                                              National and Community Service, Erin                     application is due to expire on                       SUPPLEMENTARY INFORMATION: DoD is
                                              Dahlin, at 202–606–6931 or by email to                   December 31, 2018.                                    hosting several public meetings to
                                              edahlin@cns.gov. Individuals who use a                                                                         obtain views of experts and interested
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                                                                                                         Dated: November 26, 2018.
                                              telecommunications device for the deaf                                                                         parties in Government and the private
                                                                                                       Erin Dahlin,
                                              (TTY–TDD) may call 1–800–833–3722                                                                              sector regarding revising policies and
                                                                                                       Acting Chief of Program Operations.                   procedures for contract financing,
                                              between 8:00 a.m. and 8:00 p.m. Eastern
                                              Time, Monday through Friday.                             [FR Doc. 2018–26905 Filed 12–11–18; 8:45 am]          performance incentives, and associated
                                                                                                       BILLING CODE 6050–28–P                                regulations for DoD contracts.
                                              all of the registration forms: Forms 7–R, 7–W, 8–                                                                 Registration: To ensure adequate room
                                              R, and 8–W.                                                                                                    accommodations and to facilitate


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Document Created: 2018-12-12 01:39:17
Document Modified: 2018-12-12 01:39:17
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
ActionNotice.
DatesComments must be submitted on or before January 11, 2019.
ContactChristopher W. Cummings, Special Counsel, (202) 418-5445, [email protected], Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission, 1155 21st Street NW, Washington, DC 20581, and refer to OMB Control Numbers 3038-0023 and 3038-0072.
FR Citation83 FR 63843 

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