Agency Information Collection Activities Under OMB Review

CourtCommodity Futures Trading Commission
Citation86 FR 59698
Publication Date28 October 2021
Record Number2021-23443
59698
Federal Register / Vol. 86, No. 206 / Thursday, October 28, 2021 / Notices
1
The OMB control numbers for the CFTC’s
regulations were published on December 30, 1981.
See 46 FR 63035 (Dec. 30, 1981).
2
17 CFR 145.9.
3
This estimate includes the time needed to
transmit decisions of disciplinary, membership
denial, registration, and member responsibility
actions to the Commission for review.
ADDRESSES
: You may submit comments,
identified by ‘‘OMB Control No. 3038–
0043’’ by any of the following methods:
The Agency’s website, at https://
comments.cftc.gov/. Follow the
instructions for submitting comments
through the website.
Mail: Christopher J. 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. All comments must be
submitted in English, or if not,
accompanied by an English translation.
Comments will be posted as received to
https://www.cftc.gov.
FOR FURTHER INFORMATION CONTACT
:
Melissa Chiang, Senior Assistant
General Counsel, Office of General
Counsel, Commodity Futures Trading
Commission, (202) 418–5578; email:
mchiang@cftc.gov.
SUPPLEMENTARY INFORMATION
: Under the
PRA, Federal agencies must obtain
approval from the Office of Management
and Budget (OMB) for each collection of
information they conduct or sponsor.
‘‘Collection of Information’’ is defined
in 44 U.S.C. 3502(3) and 5 CFR 1320.3
and includes agency requests or
requirements that members of the public
submit reports, keep records, or provide
information to a third party. Section
3506(c)(2)(A) of the PRA, 44 U.S.C.
3506(c)(2)(A), requires Federal agencies
to provide a 60-day notice in the
Federal Register concerning each
proposed collection of information
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. 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.
1
Title: Rules Relating to Review of
National Futures Association Decisions
in Disciplinary, Membership Denial,
Registration, and Member
Responsibility Actions (OMB Control
No. 3038–0043). This is a request for
extension of a currently approved
information collection.
Abstract: 17 CFR part 171 rules
require a registered futures association
to provide fair and orderly procedures
for membership and disciplinary
actions. The Commission’s review of
decisions of registered futures
associations in disciplinary,
membership denial, registration, and
member responsibility actions is
governed by Section 17(h)(2) of the
Commodity Exchange Act, 7 U.S.C.
21(h)(2). The rules establish procedures
and standards for Commission review of
such actions, and the reporting
requirements included in the procedural
rules are either directly required by
Section 17 of the Commodity Exchange
Act or are necessary to the type of
appellate review role Congress intended
the Commission to undertake when it
adopted that provision.
With respect to the collection of
information, the CFTC invites
comments on:
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
Commission, including whether the
information will have a practical use;
The accuracy of the Commission’s
estimate of the burden of the proposed
collection of information, including the
validity of the methodology and
assumptions used;
Ways to enhance the quality,
usefulness, and clarity of the
information to be collected; and
Ways to minimize the burden of
collection of information on those who
are to respond, including through the
use of appropriate automated electronic,
mechanical, or other technological
collection techniques or other forms of
information technology; e.g., permitting
electronic submission of responses.
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 § 145.9
of the Commission’s regulations.
2
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 https://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.
Burden Statement: The estimated
annual respondent burden for this
collection is set forth below.
Respondents/Affected Entities:
Individuals or entities filing appeals
from disciplinary and membership
decisions by National Futures
Association.
Estimated number of respondents per
year: 1.
Estimated average burden hour(s) per
response: 1 hour.
3
Estimated number of annual
responses per respondent: 3.
Estimated total annual burden on
respondent(s): 3 hours.
Frequency of collection: On occasion.
There are no capital costs or operating
and maintenance costs associated with
this collection.
(Authority: 44 U.S.C. 3501 et seq.)
Dated: October 22, 2021.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2021–23442 Filed 10–27–21; 8:45 am]
BILLING CODE P
COMMODITY FUTURES TRADING
COMMISSION
Agency Information Collection
Activities Under OMB Review
AGENCY
: Commodity Futures Trading
Commission.
ACTION
: Notice.
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 Information and Regulatory
Affairs (OIRA), of 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 burden.
DATES
: Comments must be submitted on
or before November 29, 2021.
ADDRESSES
: Written comments and
recommendations for the proposed
information collection should be
submitted within 30 days of this
notice’s publication to OIRA, at https://
www.reginfo.gov/public/do/PRAMain.
Please find this particular information
collection by selecting ‘‘Currently under
30-day Review—Open for Public
Comments’’ or by using the website’s
search function. Comments can be
entered electronically by clicking on the
‘‘comment’’ button next to the
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jspears on DSK121TN23PROD with NOTICES1
59699
Federal Register / Vol. 86, No. 206 / Thursday, October 28, 2021 / Notices
1
17 CFR 145.9.
information collection on the ‘‘OIRA
Information Collections Under Review’’
page, or the ‘‘View ICR—Agency
Submission’’ page. A copy of the
supporting statement for the collection
of information discussed herein may be
obtained by visiting https://
www.reginfo.gov/public/do/PRAMain.
In addition to the submission of
comments to https://Reginfo.gov as
indicated above, a copy of all comments
submitted to OIRA may also be
submitted to the Commodity Futures
Trading Commission (the
‘‘Commission’’ or ‘‘CFTC’’) by clicking
on the ‘‘Submit Comment’’ box next to
the descriptive entry for OMB Control
No. 3038–3033, at https://
comments.cftc.gov/FederalRegister/
PublicInfo.aspx.
Or by either of the following methods:
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.
All comments must be submitted in
English, or if not, accompanied by an
English translation. Comments
submitted to the Commission should
include 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 § 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
https://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.
FOR FURTHER INFORMATION CONTACT
:
Melissa Chiang, Senior Assistant
General Counsel, Office of the General
Counsel, Commodity Futures Trading
Commission, (202) 418–5578; email:
mchiang@cftc.gov, and refer to OMB
Control No. 3038–3033.
SUPPLEMENTARY INFORMATION
:
Title: Notification of Pending Legal
Proceedings Pursuant to 17 CFR 1.60
(OMB Control Number 3038–0033). This
is a request for extension of a currently
approved information collection.
Abstract: Rule 1.60 of the
Commission’s Part 1 regulations
requires every designated contract
market (‘‘DCM’’) and futures
commission merchant (‘‘FCM’’) to
submit to the Commodity Futures
Trading Commission (‘‘Commission’’)
certain specified information
concerning pending legal proceedings to
which the DCM or FCM is a party or to
which its property is subject. Rule 37.2
of the same part makes the requirement
of 1.60 applicable to swap execution
facilities (‘‘SEFs’’). This renewal
updates the total requested burden
based on available reported data.
The Commission initially estimated
that approximately 1,800 entities would
be affected by this rule. The
Commission originally estimated that 97
entities would be affected by this rule.
That number was based on the number
of active registrants, including 61
FCMs,16 DCMs, and 20 SEFs.
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. On August 23, 2021,
the Commission published in the
Federal Register notice of the proposed
extension of this information collection
and provided 60 days for public
comment on the proposed extension, 86
FR 47087 (‘‘60-Day Notice’’) The
Commission did not receive any
relevant comments on the 60-Day
Notice.
Burden Statement: The respondent
burden for this collection is estimated to
average 0.25 hours per response, once
annually. This estimate includes
providing the Commission with notice
and copies of specified legal documents.
Estimated Number of Respondents:
97.
Estimated Average Burden Hours per
Respondent: 0.25.
Estimated Total Annual Burden
Hours: 24.25.
Frequency of Collection: As needed.
There are no capital costs or operating
and maintenance costs associated with
this collection.
(Authority: 44 U.S.C. 3501 et seq.)
Dated: October 22, 2021.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2021–23443 Filed 10–27–21; 8:45 am]
BILLING CODE 6351–01–P
COMMODITY FUTURES TRADING
COMMISSION
Agency Information Collection
Activities Under OMB Review
AGENCY
: Commodity Futures Trading
Commission.
ACTION
: Notice.
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 Information and Regulatory
Affairs (OIRA), of 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 burden.
DATES
: Comments must be submitted on
or before November 29, 2021.
ADDRESSES
: Written comments and
recommendations for the proposed
information collection should be
submitted within 30 days of this
notice’s publication to OIRA, at https://
www.reginfo.gov/public/do/PRAMain.
Please find this particular information
collection by selecting ‘‘Currently under
30-day Review—Open for Public
Comments’’ or by using the website’s
search function. Comments can be
entered electronically by clicking on the
‘‘comment’’ button next to the
information collection on the ‘‘OIRA
Information Collections Under Review’’
page, or the ‘‘View ICR—Agency
Submission’’ page. A copy of the
supporting statement for the collection
of information discussed herein may be
obtained by visiting https://
www.reginfo.gov/public/do/PRAMain.
In addition to the submission of
comments to https://Reginfo.gov as
indicated above, a copy of all comments
submitted to OIRA may also be
submitted to the Commodity Futures
Trading Commission (the
‘‘Commission’’ or ‘‘CFTC’’) by clicking
on the ‘‘Submit Comment’’ box next to
the descriptive entry for OMB Control
No. 3038–0007, at https://
comments.cftc.gov/FederalRegister/
PublicInfo.aspx.
Or by either of the following methods:
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.
All comments must be submitted in
English, or if not, accompanied by an
English translation. Comments
submitted to the Commission should
VerDate Sep<11>2014 17:34 Oct 27, 2021 Jkt 256001 PO 00000 Frm 00006 Fmt 4703 Sfmt 4703 E:\FR\FM\28OCN1.SGM 28OCN1
jspears on DSK121TN23PROD with NOTICES1

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