Privacy Act of 1974 System of Records Notice, 58752-58755 [2014-23186]
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58752
Federal Register / Vol. 79, No. 189 / Tuesday, September 30, 2014 / Notices
Futures Association (NFA) Applications
Suite System (Exempted).
DATES: This action will be effective
November 14, 2014.
FOR FURTHER INFORMATION CONTACT:
Kathy Harman-Stokes, Chief Privacy
Officer, kharman-stokes@cftc.gov, 202–
418–6629, Office of the Executive
Director, Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC
20581.
SUPPLEMENTARY INFORMATION: Pursuant
to the Privacy Act of 1974, 5 U.S.C.
552a, and as part of the Commodity
Futures Trading Commission effort to
review and update system of records
notices, the Commission is retiring two
system of records notices, CFTC–20
Registration and CFTC–28 SelfRegulatory Organization Disciplinary
Action Files. The Commission is retiring
these system notices because the records
are covered by the revised SORN CFTC–
12, NFA Applications Suite System.
The Commission will continue to
authorize the NFA to collect and
maintain records on its behalf by
delegated authority, as provided in the
revised CFTC–12, National Futures
Association (NFA) Applications Suite
System (Exempted). The Commission
will rely upon and follow the revised
CFTC–12 NFA Applications Suite
System (Exempted). Eliminating CFTC–
20 and CFTC–28 will not have an
adverse impact on individuals and will
promote the overall streamlining and
management of CFTC Privacy Act
record systems.
Accordingly, as of its effective date,
this notice formally terminates system
of records notices CFTC–20 and CFTC–
28 and removes them from the
inventory of the Commodity Futures
Trading Commission system of records
notices.
Issued in Washington, DC, on September
24, 2014, by the Commission.
Christopher J. Kirkpatrick,
Secretary of the Commission.
[FR Doc. 2014–23203 Filed 9–29–14; 8:45 am]
BILLING CODE 6351–01–P
COMMODITY FUTURES TRADING
COMMISSION
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Privacy Act of 1974 System of Records
Notice
Commodity Futures Trading
Commission.
ACTION: Notice; publication of character
of a revised system of records.
AGENCY:
The Commodity Futures
Trading Commission (Commission or
SUMMARY:
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CFTC) is revising a system of records
under the Privacy Act of 1974, CFTC–
12, Fitness Investigations, and renaming
the system ‘‘National Futures
Association (NFA) Applications Suite
System (Exempted)’’ to more broadly
cover the activities of NFA on behalf of
the Commission by delegated authority
and also cover new data collections for
swap dealers, major swap participants
and retail foreign exchange dealers as
required by the Dodd-Frank Wall Street
Reform Act and recent Commission
rules.
Comments must be received on
or before October 30, 2014. This action
will be effective without further notice
on November 10, 2014, unless revised
pursuant to comments received.
ADDRESSES: You may submit comments
identified by ‘‘NFA Applications Suite
System (Exempted)’’ by any of the
following methods:
• Agency Web site, via its Comments
Online process: https://
comments.cftc.gov. Follow the
instructions for submitting comments
through the Web site.
• Federal eRulemaking Portal:
Comments may be submitted at https://
www.regulations.gov. Follow the
instructions for submitting comments.
• Mail: Secretary of the Commission,
Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC
20581.
• Hand Delivery/Courier: Same as
Mail, above. 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 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 § 145.9
of the Commission’s regulations, 17 CFR
145.9.
The Commission reserves the right,
but shall have no obligation, to review,
pre-screen, filter, redact, refuse or
remove any or all of a 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
notice will be retained in the public
comment file and will be considered as
required under all applicable laws, and
DATES:
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may be accessible under the Freedom of
Information Act.
FOR FURTHER INFORMATION CONTACT:
Kathy Harman-Stokes, Chief Privacy
Officer, kharman-stokes@cftc.gov, 202–
418–6629, Office of the Executive
Director, Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC
20581.
SUPPLEMENTARY INFORMATION:
I. The Privacy Act
Under the Privacy Act of 1974, 5
U.S.C. 552a, a ‘‘system of records’’ is
defined as any group of records under
the control of a federal government
agency from which information about
individuals is retrieved by name or
other personal identifier. The Privacy
Act establishes the means by which
government agencies collect, maintain,
and use information that is personally
identifiable in a government system of
records.
Each government agency is required
to publish a notice in the Federal
Register of a system of records in which
the agency identifies and describes each
system of records it maintains, the
reasons why the agency uses the
personally identifying information
therein, the routine uses for which the
agency will disclose such information
outside the agency, and how individuals
may exercise their rights under the
Privacy Act to determine if the system
contains information about them, among
other things.
II. NFA Applications Suite System
(Exempt)
The Commission proposes to revise a
system of records notice (SORN), CFTC–
12, ‘‘Fitness Investigations,’’ and rename
the notice as ‘‘National Futures
Association (NFA) Applications Suite
System (Exempted).’’ The notice revises
the description of the system and
enhancements to more broadly cover the
activities of NFA on behalf of the
Commission by delegated authority and
also covers new data collections for
swap dealers, major swap participants
and retail foreign exchange dealers as
required by the Dodd-Frank Wall Street
Reform Act and recent Commission
rules. The revised notice also exempts
from certain Privacy Act requirements
those records in this system that refer,
relate to or are from third-party sources
related to fitness or other investigations
of registrants or applicants for
registration. Though subject to change
with future information technology
upgrades, the notice covers activities
that are currently automated by the
following NFA databases and
applications:
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Federal Register / Vol. 79, No. 189 / Tuesday, September 30, 2014 / Notices
• BASIC—Background Affiliation
Status Information Center;
• Fingerprint system;
• DDOC—Disclosure Document
System;
• EFC—Electronic Filing Cabinet;
• EasyFile;
• FACTS—Financial Analysis &
Audit Compliance Tracking System;
• Fitness Image;
• NFA Audit System;
• ORS—Online Registration System;
• WinjammerTM Online Filing
System.
This single SORN will replace and
rename CFTC–12, ‘‘Fitness
Investigations,’’ and will result in
retirement of two other SORNs, CFTC–
20, ‘‘Registration,’’ and CFTC–28, ‘‘SelfRegulatory Organization Disciplinary
Action Files.’’
Issued in Washington, DC, on September
24, 2014, by the Commission.
Christopher J. Kirkpatrick,
Secretary of the Commission.
CFTC–12
SYSTEM NAME:
National Futures Association (NFA)
Applications Suite System (Exempted).
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
The electronic applications and
databases that comprise the NFA
Applications Suite System (Exempted)
are located in two primary locations,
NFA, 300 South Riverside, Suite 1800,
Chicago, Illinois 60606 and the CFTC,
Three Lafayette Centre, 1155 21st Street
NW., Washington, DC 20581. Some
information is also located at CFTC
regional offices at 525 West Monroe
Street, Suite 1100, Chicago, IL 60661;
140 Broadway, 19th Floor, New York,
NY 10005; and 4900 Main Street, Suite
500, Kansas City, MO 64112.
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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals who have applied or who
may apply for registration as futures
commission merchants, introducing
brokers, commodity pool operators,
commodity trading advisors, leverage
transaction merchants, swap dealers,
major swap participants, retail foreign
exchange dealers and agricultural trade
option merchants (ATOMs); individuals
who file notices of exemption or claims
for exemption from certain CFTC
requirements; individuals who are or
may become principals (as defined in 17
CFR 3.1); individuals who have applied
or who may apply for registration as
associated persons of the foregoing
firms; and floor brokers and floor
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traders. Also individuals, who have
been suspended, expelled, disciplined,
or denied access to or by a selfregulatory organization (SRO),
including, but not limited to, NFA or
who have been subject to a CFTC civil
or administrative action.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information pertaining to the fitness
of the individuals or firms to engage in
business subject to the Commission’s
jurisdiction, including but not limited to
registration forms, schedules and
supplements, fingerprint cards which
are required for certain individual
registrants as provided under CFTC
rules, correspondence relating to
registration, fitness investigations, and
reports and memoranda reflecting
information developed from various
sources. This system includes
investigatory material compiled for law
enforcement purposes whose disclosure
the Commission staff has determined
could compromise Commission
investigations, or would reveal the
identity of a source who furnished
information to the Commission under
an express promise that the identity of
the source would be held in confidence.
Information pertaining to disciplinary
or other adverse action taken by an SRO
or the CFTC, including the name of the
person against whom such action was
taken, the action taken, and the reasons.
Information submitted by certain
individuals or firms to enable NFA and/
or CFTC supervision and oversight of
activities governed by the Commodity
Exchange Act, such as financial
statements, reports and notice filings;
disclosure documents; and submissions
by swap dealers and major swap
participants pursuant to Commission
Regulation 3.10(a)(1)(v)(A) and
information developed by the NFA and/
or CFTC related to such information.
Information submitted by individuals
related to notices of exemption or
claims for exemption from certain CFTC
requirements and information
developed by NFA and/or the CFTC
related to the notice of exemption or
claim for exemption.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Commodity Exchange Act, 7
U.S.C. 1, et seq., and the rules and
regulations promulgated thereunder.
PURPOSE(S):
The records in this system are used to
support the Commission’s registration
and other regulatory authority as
delegated to NFA. This involves
maintaining fitness investigation and
other fitness related records, including
investigatory material compiled for law
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enforcement purposes, non-fitness
registration records, images of
registration records, information related
to disciplinary action taken by the CFTC
and self-regulatory organizations
including NFA; processing hard copy
and electronic fingerprint cards; and
maintaining a web based registration
system, records related to notices of
exemption or claims for exemption from
certain CFTC requirements, and
financial statements, reports, notices
and other filings that enable NFA and
the CFTC to oversee registrant activities
for compliance with legal requirements.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
NFA may disclose information
contained in those portions of this
system of records maintained by NFA,
but any such disclosure must be made
in accordance with NFA rules that have
been approved by the Commission or
permitted to become effective without
Commission approval. Disclosures must
be made under circumstances
authorized by the Commission as
consistent with the Commission’s
regulations and routine uses.
NFA generally makes available to the
public on NFA Web site(s), including
the Background Affiliation Status
Information Center (BASIC), firm
directories, registration forms, business
addresses, telephone numbers,
registration categories, biographical
supplements (except for any
confidential information on
supplementary attachments to the
forms), effective dates of registration,
registration status, and disciplinary
action taken concerning futures
commission merchants, introducing
brokers, commodity pool operators,
commodity trading advisors, swap
dealers, major swap participants and
retail foreign exchange dealers and their
associated persons. NFA also will
release records or portions of records to
any member of the public if such
records or portions are ‘‘public’’ or
‘‘publicly available’’ under CFTC
Regulations 1.10(g) or 145.0.
For information not made available to
the public as explained above, NFA may
disclose information contained in those
portions of this system of records
maintained by NFA:
(1) To any person with whom an
applicant or registrant is or plans to be
associated as an associated person or
affiliated as a principal or with whom
an individual is or plans on being
associated as a swap associated person;
(2) to any futures commission
merchant or retail foreign exchange
dealer with whom an introducing
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broker, whether an applicant or
registrant, has or plans to enter into a
guarantee agreement under CFTC
Regulation 1.10;
(3) to boards of trade designated as
contract markets or to any other futures
associations registered with the
Commission to assist those
organizations in carrying out their
responsibilities under the Act, or to
national securities exchanges or
national securities associations
registered with the Securities &
Exchange Commission to assist those
organizations in carrying out their
responsibilities under the Securities
Exchange Act of 1934;
(4) to federal, state or local law
enforcement or regulatory agencies
acting within the scope of their
jurisdiction or for their use in meeting
responsibilities assigned to them under
law (to the same extent that the
Commission may disclose such
registration information under Sections
8(e) and 8(g) of the Act);
(5) pursuant to an order of a court of
competent jurisdiction; except that,
subpoenas and summonses covering
non-public portions of registration
records and copies of the non-public
records shall be promptly forwarded to
the Commission to enable the
Commission to consult with NFA on
how to proceed;
(6) otherwise with the authorization
of the FOI, Privacy and Sunshine Act
Compliance staff or the General Counsel
of the Commission or his or her
designee, in accordance with CFTC
Regulations 145.7(b), (h) and (i); the
Freedom of Information Act, 5 U.S.C.
552; and the Privacy Act, 5 U.S.C. 552a;
and
(7) to any individual or firm, or
person acting on behalf of the
individual or firm, who seeks access to
registration records, excluding any
reports reflecting information developed
from sources outside the Commission or
NFA compiled or generated in
connection with determining fitness for
registration or affiliation as a principal,
in connection with that individual’s or
firm’s application for registration.
Information in this system may also
be disclosed in accordance with the
blanket routine uses numbered 1
through 19 that appear at the beginning
of the Commission’s compilation of its
systems of records notices, which can be
found in the Federal Register at 76 FR
5974 (Feb. 2, 2011).
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:
None.
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POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders
and binders. Electronic records,
including computer files, are stored on
the Commission’s network, NFA
databases or applications, NFA Web
site, and other electronic media (e.g.,
microfiche) as needed.
RETRIEVABILITY:
By the name of the individual or firm,
an NFA identification number, docket
number or by cross-indexing an
individual’s file to the name of the firm
with which the individual is associated
or affiliated (e.g., the name of the futures
commission merchant).
SAFEGUARDS:
Records are protected from
unauthorized access and improper use
through administrative, technical and
physical security measures.
Administrative measures includes
workforce security awareness training.
Technical security measures within the
NFA and CFTC include restrictions on
computer access to authorized
individuals, required use of strong
passwords that are frequently changed,
use of encryption for certain data types
and transfers, and regular review of
security procedures and best practices
to enhance security. Physical measures
include restrictions on building access
to authorized individuals and
maintenance of records in lockable
offices and filing cabinets.
RETENTION AND DISPOSAL:
These records are retained and
disposed of in accordance with CFTC
Records Schedules available at:
www.cftc.gov/ucm/groups/public/@
aboutcftc/documents/file/
recordsdispositionschedule.pdf.
SYSTEM MANAGER(S) AND ADDRESS:
For records held by the Commission
related to fitness investigations and
registration: Director, Division of Swap
Dealer and Intermediary Oversight
(DSIO), Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC
20581. Surveillance Branch Chiefs in
the regional offices at 525 West Monroe
Street, Suite 1100, Chicago, IL 60661
and 140 Broadway, 19th Floor, New
York, NY 10005. For records held by the
Commission related to disciplinary
action: Director, Division of Market
Oversight (DMO), Commodity Futures
Trading Commission, Three Lafayette
Centre, 1155 21st Street NW.,
Washington, DC 20581.
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For records held by NFA: Vice
President for Registration, National
Futures Association, 300 South
Riverside, Suite 1800, Chicago, Illinois
60606.
NOTIFICATION PROCEDURE:
Individuals seeking to determine
whether this system of records contains
information about themselves or seeking
access to records about themselves in
this system of records, or contesting the
content of records about themselves
contained in this system of records
should address written inquiry to FOIA/
Privacy Act Request, Commodity
Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581. Telephone (202)
418–5000.
Individuals may also request
registration information by telephone
directly from the NFA information
center at (800) 621–3570 or (312) 781–
1410. Inquiries can also be made to NFA
by fax at (312) 781–1459 or via the
Internet at information@nfa.futures.org.
NFA will query the system about
current registration status and
registration and disciplinary history,
and will provide instructions on how to
make written requests for copies of
records. The Internet may be used to
obtain information on current
registration status and futures-related
regulatory actions at
www.nfa.futures.org.
RECORD SOURCE CATEGORIES:
The individual or firm on whom the
record is maintained; the individual’s
employer; individuals filing reparations
complaints or answers; Federal, state
and local regulatory and law
enforcement agencies; commodities and
securities exchanges; NFA; Financial
Industry Regulatory Authority (FINRA);
foreign futures and securities authorities
and INTERPOL; self-regulatory
organizations notifying the Commission
of disciplinary or other adverse actions
taken; and other miscellaneous sources.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
The records in this system that refer,
relate to or are from third-party sources
related to fitness or other investigations
of applicants for registration or
registrants are exempted by the
Commission from certain provisions of
the Privacy Act of 1974 pursuant to the
terms of the Privacy Act, 5 U.S.C.
552a(k)(2), and the Commission’s rules
promulgated thereunder, 17 CFR 146.12.
These records are exempt from the
notification procedures, records access
procedures, and record contest
procedures set forth in the system
notices of other systems of records, and
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Federal Register / Vol. 79, No. 189 / Tuesday, September 30, 2014 / Notices
from the requirement that the sources of
records in the system be described.
[FR Doc. 2014–23186 Filed 9–29–14; 8:45 am]
BILLING CODE 6351–01–P
DEPARTMENT OF DEFENSE
Department of the Air Force
[Docket ID USAF–2014–0025]
Submission for OMB Review;
Comment Request
ACTION:
Notice.
The Department of Defense
has submitted to OMB for clearance, the
following proposal for collection of
information under the provisions of the
Paperwork Reduction Act.
DATES: Consideration will be given to all
comments received by October 30, 2014.
FOR FURTHER INFORMATION CONTACT: Fred
Licari, 571–372–0493.
SUPPLEMENTARY INFORMATION:
Title, Associated Form and OMB
Number: DoD Statement of Intent; AMC
Form 207; OMB Control Number 0701–
0137.
Type of Request: Extension.
Number of Respondents: 15.
Responses per Respondent: 1.
Annual Responses: 15.
Average Burden per Response: 20
hours.
Annual Burden Hours: 300.
Needs and Uses: The information
collection requirement is necessary to
the Department of Defense commercial
Airlift Division (HQ AMC/A34B) and is
responsible for the assessment of a
commercial air carrier’s ability to
provide quality, safe, and reliable airlift
to the Department of Defense. HQ AMC/
A34B uses Air Mobility Command
(AMC) Form 207 to acquire information
needed to make a determination if the
commercial carriers can support the
Department of Defense. Information is
evaluated and used in the approval
process. Failure to respond renders the
commercial air carrier ineligible for
contracts to provide air carrier service to
the Department of Defense.
Affected Public: Business or other forprofit.
Frequency: On occasion.
Respondent’s Obligation: Voluntary.
OMB Desk Officer: Ms. Jasmeet
Seehra.
Written comments and
recommendations on the proposed
information collection should be sent to
Ms. Jasmeet Seehra at the Office of
Management and Budget, Desk Officer
for DoD, Room 10236, New Executive
Office Building, Washington, DC 20503.
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SUMMARY:
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You may also submit comments,
identified by docket number and title,
by the following method:
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
Instructions: All submissions received
must include the agency name, docket
number and title for this Federal
Register document. The general policy
for comments and other submissions
from members of the public is to make
these submissions available for public
viewing on the Internet at https://
www.regulations.gov as they are
received without change, including any
personal identifiers or contact
information.
DOD Clearance Officer: Mr. Frederick
Licari.
Written requests for copies of the
information collection proposal should
be sent to Mr. Licari at WHS/ESD
Directives Division, 4800 Mark Center
Drive, East Tower, Suite 02G09,
Alexandria, VA 22350–3100.
Dated: September 18, 2014.
Aaron Siegel,
Alternate OSD Federal Register Liaison
Officer, Department of Defense.
[FR Doc. 2014–22629 Filed 9–29–14; 8:45 am]
BILLING CODE 5001–06–P
DEPARTMENT OF EDUCATION
[Docket No.: ED–2014–ICCD–0111]
Agency Information Collection
Activities; Submission to the Office of
Management and Budget for Review
and Approval; Comment Request; High
School Reform Study
Department of Education (ED),
Office of Planning, Evaluation and
Policy Development (OPEPD).
ACTION: Notice.
AGENCY:
In accordance with the
Paperwork Reduction Act of 1995 (44
U.S.C. chapter 3501 et seq.), ED is
proposing a new information collection.
DATES: Interested persons are invited to
submit comments on or before October
30, 2014.
ADDRESSES: Comments submitted in
response to this notice should be
submitted electronically through the
Federal eRulemaking Portal at https://
www.regulations.gov by selecting
Docket ID number ED–2014–ICCD–0111
or via postal mail, commercial delivery,
or hand delivery. If the regulations.gov
site is not available to the public for any
reason, ED will temporarily accept
comments at ICDocketMgr@ed.gov.
Please note that comments submitted by
fax or email and those submitted after
SUMMARY:
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58755
the comment period will not be
accepted; ED will ONLY accept
comments during the comment period
in this mailbox when the regulations.gov
site is not available. Written requests for
information or comments submitted by
postal mail or delivery should be
addressed to the Director of the
Information Collection Clearance
Division, U.S. Department of Education,
400 Maryland Avenue SW., LBJ,
Mailstop L–OM–2–2E319, Room 2E103,
Washington, DC 20202.
FOR FURTHER INFORMATION CONTACT: For
specific questions related to collection
activities, please contact Joanne Bogart,
202–205–7855.
SUPPLEMENTARY INFORMATION: The
Department of Education (ED), in
accordance with the Paperwork
Reduction Act of 1995 (PRA) (44 U.S.C.
3506(c)(2)(A)), provides the general
public and Federal agencies with an
opportunity to comment on proposed,
revised, and continuing collections of
information. This helps the Department
assess the impact of its information
collection requirements and minimize
the public’s reporting burden. It also
helps the public understand the
Department’s information collection
requirements and provide the requested
data in the desired format. ED is
soliciting comments on the proposed
information collection request (ICR) that
is described below. The Department of
Education is especially interested in
public comment addressing the
following issues: (1) Is this collection
necessary to the proper functions of the
Department; (2) will this information be
processed and used in a timely manner;
(3) is the estimate of burden accurate;
(4) how might the Department enhance
the quality, utility, and clarity of the
information to be collected; and (5) how
might the Department minimize the
burden of this collection on the
respondents, including through the use
of information technology. Please note
that written comments received in
response to this notice will be
considered public records.
Title of Collection: High School
Reform Study.
OMB Control Number: 1875—NEW.
Type of Review: A new information
collection.
Respondents/Affected Public:
Individuals or Households.
Total Estimated Number of Annual
Responses: 1,670.
Total Estimated Number of Annual
Burden Hours: 835.
Abstract: This request for OMB
clearance is to collect data through a
nationally representative survey of high
schools during the 2014–15 school year.
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Agencies
[Federal Register Volume 79, Number 189 (Tuesday, September 30, 2014)]
[Notices]
[Pages 58752-58755]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-23186]
-----------------------------------------------------------------------
COMMODITY FUTURES TRADING COMMISSION
Privacy Act of 1974 System of Records Notice
AGENCY: Commodity Futures Trading Commission.
ACTION: Notice; publication of character of a revised system of
records.
-----------------------------------------------------------------------
SUMMARY: The Commodity Futures Trading Commission (Commission or CFTC)
is revising a system of records under the Privacy Act of 1974, CFTC-12,
Fitness Investigations, and renaming the system ``National Futures
Association (NFA) Applications Suite System (Exempted)'' to more
broadly cover the activities of NFA on behalf of the Commission by
delegated authority and also cover new data collections for swap
dealers, major swap participants and retail foreign exchange dealers as
required by the Dodd-Frank Wall Street Reform Act and recent Commission
rules.
DATES: Comments must be received on or before October 30, 2014. This
action will be effective without further notice on November 10, 2014,
unless revised pursuant to comments received.
ADDRESSES: You may submit comments identified by ``NFA Applications
Suite System (Exempted)'' by any of the following methods:
Agency Web site, via its Comments Online process: https://comments.cftc.gov. Follow the instructions for submitting comments
through the Web site.
Federal eRulemaking Portal: Comments may be submitted at
https://www.regulations.gov. Follow the instructions for submitting
comments.
Mail: Secretary of the Commission, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581.
Hand Delivery/Courier: Same as Mail, above. 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
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, 17 CFR 145.9.
The Commission reserves the right, but shall have no obligation, to
review, pre-screen, filter, redact, refuse or remove any or all of a
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 notice will be retained in the public comment file
and will be considered as required under all applicable laws, and may
be accessible under the Freedom of Information Act.
FOR FURTHER INFORMATION CONTACT: Kathy Harman-Stokes, Chief Privacy
Officer, kharman-stokes@cftc.gov, 202-418-6629, Office of the Executive
Director, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC 20581.
SUPPLEMENTARY INFORMATION:
I. The Privacy Act
Under the Privacy Act of 1974, 5 U.S.C. 552a, a ``system of
records'' is defined as any group of records under the control of a
federal government agency from which information about individuals is
retrieved by name or other personal identifier. The Privacy Act
establishes the means by which government agencies collect, maintain,
and use information that is personally identifiable in a government
system of records.
Each government agency is required to publish a notice in the
Federal Register of a system of records in which the agency identifies
and describes each system of records it maintains, the reasons why the
agency uses the personally identifying information therein, the routine
uses for which the agency will disclose such information outside the
agency, and how individuals may exercise their rights under the Privacy
Act to determine if the system contains information about them, among
other things.
II. NFA Applications Suite System (Exempt)
The Commission proposes to revise a system of records notice
(SORN), CFTC-12, ``Fitness Investigations,'' and rename the notice as
``National Futures Association (NFA) Applications Suite System
(Exempted).'' The notice revises the description of the system and
enhancements to more broadly cover the activities of NFA on behalf of
the Commission by delegated authority and also covers new data
collections for swap dealers, major swap participants and retail
foreign exchange dealers as required by the Dodd-Frank Wall Street
Reform Act and recent Commission rules. The revised notice also exempts
from certain Privacy Act requirements those records in this system that
refer, relate to or are from third-party sources related to fitness or
other investigations of registrants or applicants for registration.
Though subject to change with future information technology upgrades,
the notice covers activities that are currently automated by the
following NFA databases and applications:
[[Page 58753]]
BASIC--Background Affiliation Status Information Center;
Fingerprint system;
DDOC--Disclosure Document System;
EFC--Electronic Filing Cabinet;
EasyFile;
FACTS--Financial Analysis & Audit Compliance Tracking
System;
Fitness Image;
NFA Audit System;
ORS--Online Registration System;
WinjammerTM Online Filing System.
This single SORN will replace and rename CFTC-12, ``Fitness
Investigations,'' and will result in retirement of two other SORNs,
CFTC-20, ``Registration,'' and CFTC-28, ``Self-Regulatory Organization
Disciplinary Action Files.''
Issued in Washington, DC, on September 24, 2014, by the
Commission.
Christopher J. Kirkpatrick,
Secretary of the Commission.
CFTC-12
System Name:
National Futures Association (NFA) Applications Suite System
(Exempted).
Security Classification:
Unclassified.
System Location:
The electronic applications and databases that comprise the NFA
Applications Suite System (Exempted) are located in two primary
locations, NFA, 300 South Riverside, Suite 1800, Chicago, Illinois
60606 and the CFTC, Three Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581. Some information is also located at CFTC regional
offices at 525 West Monroe Street, Suite 1100, Chicago, IL 60661; 140
Broadway, 19th Floor, New York, NY 10005; and 4900 Main Street, Suite
500, Kansas City, MO 64112.
Categories Of Individuals Covered By The System:
Individuals who have applied or who may apply for registration as
futures commission merchants, introducing brokers, commodity pool
operators, commodity trading advisors, leverage transaction merchants,
swap dealers, major swap participants, retail foreign exchange dealers
and agricultural trade option merchants (ATOMs); individuals who file
notices of exemption or claims for exemption from certain CFTC
requirements; individuals who are or may become principals (as defined
in 17 CFR 3.1); individuals who have applied or who may apply for
registration as associated persons of the foregoing firms; and floor
brokers and floor traders. Also individuals, who have been suspended,
expelled, disciplined, or denied access to or by a self-regulatory
organization (SRO), including, but not limited to, NFA or who have been
subject to a CFTC civil or administrative action.
Categories Of Records In The System:
Information pertaining to the fitness of the individuals or firms
to engage in business subject to the Commission's jurisdiction,
including but not limited to registration forms, schedules and
supplements, fingerprint cards which are required for certain
individual registrants as provided under CFTC rules, correspondence
relating to registration, fitness investigations, and reports and
memoranda reflecting information developed from various sources. This
system includes investigatory material compiled for law enforcement
purposes whose disclosure the Commission staff has determined could
compromise Commission investigations, or would reveal the identity of a
source who furnished information to the Commission under an express
promise that the identity of the source would be held in confidence.
Information pertaining to disciplinary or other adverse action
taken by an SRO or the CFTC, including the name of the person against
whom such action was taken, the action taken, and the reasons.
Information submitted by certain individuals or firms to enable NFA
and/or CFTC supervision and oversight of activities governed by the
Commodity Exchange Act, such as financial statements, reports and
notice filings; disclosure documents; and submissions by swap dealers
and major swap participants pursuant to Commission Regulation
3.10(a)(1)(v)(A) and information developed by the NFA and/or CFTC
related to such information.
Information submitted by individuals related to notices of
exemption or claims for exemption from certain CFTC requirements and
information developed by NFA and/or the CFTC related to the notice of
exemption or claim for exemption.
Authority For Maintenance Of The System:
The Commodity Exchange Act, 7 U.S.C. 1, et seq., and the rules and
regulations promulgated thereunder.
Purpose(s):
The records in this system are used to support the Commission's
registration and other regulatory authority as delegated to NFA. This
involves maintaining fitness investigation and other fitness related
records, including investigatory material compiled for law enforcement
purposes, non-fitness registration records, images of registration
records, information related to disciplinary action taken by the CFTC
and self-regulatory organizations including NFA; processing hard copy
and electronic fingerprint cards; and maintaining a web based
registration system, records related to notices of exemption or claims
for exemption from certain CFTC requirements, and financial statements,
reports, notices and other filings that enable NFA and the CFTC to
oversee registrant activities for compliance with legal requirements.
Routine Uses Of Records Maintained In The System, Including Categories
Of Users And The Purposes Of Such Uses:
NFA may disclose information contained in those portions of this
system of records maintained by NFA, but any such disclosure must be
made in accordance with NFA rules that have been approved by the
Commission or permitted to become effective without Commission
approval. Disclosures must be made under circumstances authorized by
the Commission as consistent with the Commission's regulations and
routine uses.
NFA generally makes available to the public on NFA Web site(s),
including the Background Affiliation Status Information Center (BASIC),
firm directories, registration forms, business addresses, telephone
numbers, registration categories, biographical supplements (except for
any confidential information on supplementary attachments to the
forms), effective dates of registration, registration status, and
disciplinary action taken concerning futures commission merchants,
introducing brokers, commodity pool operators, commodity trading
advisors, swap dealers, major swap participants and retail foreign
exchange dealers and their associated persons. NFA also will release
records or portions of records to any member of the public if such
records or portions are ``public'' or ``publicly available'' under CFTC
Regulations 1.10(g) or 145.0.
For information not made available to the public as explained
above, NFA may disclose information contained in those portions of this
system of records maintained by NFA:
(1) To any person with whom an applicant or registrant is or plans
to be associated as an associated person or affiliated as a principal
or with whom an individual is or plans on being associated as a swap
associated person;
(2) to any futures commission merchant or retail foreign exchange
dealer with whom an introducing
[[Page 58754]]
broker, whether an applicant or registrant, has or plans to enter into
a guarantee agreement under CFTC Regulation 1.10;
(3) to boards of trade designated as contract markets or to any
other futures associations registered with the Commission to assist
those organizations in carrying out their responsibilities under the
Act, or to national securities exchanges or national securities
associations registered with the Securities & Exchange Commission to
assist those organizations in carrying out their responsibilities under
the Securities Exchange Act of 1934;
(4) to federal, state or local law enforcement or regulatory
agencies acting within the scope of their jurisdiction or for their use
in meeting responsibilities assigned to them under law (to the same
extent that the Commission may disclose such registration information
under Sections 8(e) and 8(g) of the Act);
(5) pursuant to an order of a court of competent jurisdiction;
except that, subpoenas and summonses covering non-public portions of
registration records and copies of the non-public records shall be
promptly forwarded to the Commission to enable the Commission to
consult with NFA on how to proceed;
(6) otherwise with the authorization of the FOI, Privacy and
Sunshine Act Compliance staff or the General Counsel of the Commission
or his or her designee, in accordance with CFTC Regulations 145.7(b),
(h) and (i); the Freedom of Information Act, 5 U.S.C. 552; and the
Privacy Act, 5 U.S.C. 552a; and
(7) to any individual or firm, or person acting on behalf of the
individual or firm, who seeks access to registration records, excluding
any reports reflecting information developed from sources outside the
Commission or NFA compiled or generated in connection with determining
fitness for registration or affiliation as a principal, in connection
with that individual's or firm's application for registration.
Information in this system may also be disclosed in accordance with
the blanket routine uses numbered 1 through 19 that appear at the
beginning of the Commission's compilation of its systems of records
notices, which can be found in the Federal Register at 76 FR 5974 (Feb.
2, 2011).
Disclosure To Consumer Reporting Agencies:
None.
Policies And Practices For Storing, Retrieving, Accessing, Retaining,
And Disposing Of Records In The System:
Storage:
Paper records are stored in file folders and binders. Electronic
records, including computer files, are stored on the Commission's
network, NFA databases or applications, NFA Web site, and other
electronic media (e.g., microfiche) as needed.
Retrievability:
By the name of the individual or firm, an NFA identification
number, docket number or by cross-indexing an individual's file to the
name of the firm with which the individual is associated or affiliated
(e.g., the name of the futures commission merchant).
Safeguards:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Administrative measures includes workforce security awareness training.
Technical security measures within the NFA and CFTC include
restrictions on computer access to authorized individuals, required use
of strong passwords that are frequently changed, use of encryption for
certain data types and transfers, and regular review of security
procedures and best practices to enhance security. Physical measures
include restrictions on building access to authorized individuals and
maintenance of records in lockable offices and filing cabinets.
Retention And Disposal:
These records are retained and disposed of in accordance with CFTC
Records Schedules available at: www.cftc.gov/ucm/groups/public/@aboutcftc/documents/file/recordsdispositionschedule.pdf.
System Manager(s) And Address:
For records held by the Commission related to fitness
investigations and registration: Director, Division of Swap Dealer and
Intermediary Oversight (DSIO), Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.
Surveillance Branch Chiefs in the regional offices at 525 West Monroe
Street, Suite 1100, Chicago, IL 60661 and 140 Broadway, 19th Floor, New
York, NY 10005. For records held by the Commission related to
disciplinary action: Director, Division of Market Oversight (DMO),
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581.
For records held by NFA: Vice President for Registration, National
Futures Association, 300 South Riverside, Suite 1800, Chicago, Illinois
60606.
Notification Procedure:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to FOIA/Privacy Act Request, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581. Telephone (202) 418-5000.
Individuals may also request registration information by telephone
directly from the NFA information center at (800) 621-3570 or (312)
781-1410. Inquiries can also be made to NFA by fax at (312) 781-1459 or
via the Internet at information@nfa.futures.org. NFA will query the
system about current registration status and registration and
disciplinary history, and will provide instructions on how to make
written requests for copies of records. The Internet may be used to
obtain information on current registration status and futures-related
regulatory actions at www.nfa.futures.org.
Record Source Categories:
The individual or firm on whom the record is maintained; the
individual's employer; individuals filing reparations complaints or
answers; Federal, state and local regulatory and law enforcement
agencies; commodities and securities exchanges; NFA; Financial Industry
Regulatory Authority (FINRA); foreign futures and securities
authorities and INTERPOL; self-regulatory organizations notifying the
Commission of disciplinary or other adverse actions taken; and other
miscellaneous sources.
Exemptions Claimed For The System:
The records in this system that refer, relate to or are from third-
party sources related to fitness or other investigations of applicants
for registration or registrants are exempted by the Commission from
certain provisions of the Privacy Act of 1974 pursuant to the terms of
the Privacy Act, 5 U.S.C. 552a(k)(2), and the Commission's rules
promulgated thereunder, 17 CFR 146.12. These records are exempt from
the notification procedures, records access procedures, and record
contest procedures set forth in the system notices of other systems of
records, and
[[Page 58755]]
from the requirement that the sources of records in the system be
described.
[FR Doc. 2014-23186 Filed 9-29-14; 8:45 am]
BILLING CODE 6351-01-P