Agency Information Collection Activities Under OMB Review, 3391-3392 [2016-01139]

Download as PDF asabaliauskas on DSK9F6TC42PROD with NOTICES Federal Register / Vol. 81, No. 13 / Thursday, January 21, 2016 / Notices addition, NFA will maintain these records in accordance with the Commission’s Records Disposition Schedule. Further, the work of the Commission requires that Commission staff have ready electronic access to the information contained in the documents encompassed by this Order. Commission staff will have electronic access to a database containing the pertinent information contained in the subject filings. Moreover, NFA will make physical copies of any of the documents encompassed by this Order available to the Commission, Commission staff, the Department of Justice, the Securities and Exchange Commission, and all applicable prudential regulators promptly. In light of NFA’s experience in receiving and reviewing disclosure documents on behalf of the Commission, the Commission has determined to delegate to NFA the responsibility to receive and review notices of swap valuation disputes required to be filed pursuant to Regulation 23.502(c), to provide the Commission with such summaries and periodic reports as the Commission, through the Director of DSIO, may determine are necessary for the effective oversight of SDs and MSPs, and to maintain and serve as the official custodian of records for those documents. This determination is based upon NFA’s representations regarding procedures for maintaining and safeguarding all such records. In maintaining the Commission’s records pursuant to this Order, NFA shall be subject to all other requirements and obligations imposed on it by the Commission in existing or future orders or regulations. In this regard, NFA shall also implement such additional procedures (or modify existing procedures) as are acceptable to the Commission and as are necessary and acceptable to the Commission to accomplish the following: Ensure the security and integrity of the records in NFA’s custody; facilitate prompt access to those records by the Commission and its staff, particularly as described in other Commission orders or rules; facilitate disclosure of public or nonpublic information in those records when permitted by Commission orders or rules and keep logs as required by the Commission concerning disclosure of nonpublic information; and otherwise safeguard the confidentiality of the records. NFA shall also make such reports regarding those notices as shall described in sections 8(a), 8(e), and 8a(6) of the Act, so that any such information will not be disclosed inadvertently or without authority.’’). VerDate Sep<11>2014 18:26 Jan 20, 2016 Jkt 238001 be specified by the Commission or the Director of DSIO. II. Conclusion and Order The Commission has determined, in accordance with Sections 4s(f)(1), 8a(10) and 17(o)(1) of the CEA, to authorize NFA to perform the following functions: (1) To receive in the form and manner prescribed by NFA, and conduct reviews of, the notices of swap valuation disputes specified in Regulation 23.502(c), as described above; and (2) To maintain and serve as the official custodian of those Commission records. NFA shall perform these functions in accordance with the standards established by the Act and the regulations and orders promulgated thereunder, and shall provide the Commission with such summaries and periodic reports regarding those records and their contents as the Commission or the Director of DSIO may determine are necessary for the effective oversight of this program. These determinations are based, in part, on the Commission’s authority to delegate to NFA portions of the Commission’s responsibilities under the CEA, in furtherance of carrying out these responsibilities in the most efficient and cost-effective manner, and upon NFA’s representations concerning the standards and procedures to be followed and the reports to be generated in administering these functions. This Order does not, however, authorize NFA to render ‘‘no-action’’ positions, exemptions or interpretations with respect to applicable disclosure, reporting, recordkeeping and registration requirements. Nothing in this Order or in CEA Sections 8a(10) or 17(o) shall affect the Commission’s authority to review NFA’s performance of Commission functions listed above. NFA is authorized to perform all functions specified herein until such time as the Commission orders otherwise. Nothing in this Order shall prevent the Commission from exercising the authority delegated herein. NFA may submit to the Commission for decision any specific matter regarding the functions delegated to it, and Commission staff will be available to discuss with NFA staff issues relating to the implementation of this Order. Nothing in this Order affects the applicability of any previous Orders issued by the Commission. PO 00000 Frm 00015 Fmt 4703 Sfmt 4703 3391 Issued in Washington, DC, on January 14, 2016, by the Commission. Christopher J. Kirkpatrick, Secretary of the Commission. [FR Doc. 2016–01051 Filed 1–20–16; 8:45 am] BILLING CODE 6351–01–P COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities Under OMB Review Commodity Futures Trading Commission. ACTION: Notice. AGENCY: 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 burden. DATES: Comments must be submitted on or before February 22, 2016. ADDRESSES: Comments regarding the burden estimated 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 the notice’s publication, by email at OIRAsubmissions@omb.eop.gov. Please identify the comments by OMB Control No. 3038–0080. Please provide the Commodity Futures Trading Commission (‘‘CFTC’’ or ‘‘Commission’’) with a copy of all submitted comments at the address listed below. Please refer to OMB Reference No. 3038–0080, found on http://reginfo.gov. Comments may also be mailed to the 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, or through the Agency’s Web site at http:// comments.cftc.gov. Follow the instructions for submitting comments through the Web site. Comments may also be mailed to: Christopher Kirkpatrick, Secretary of the Commission, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 or by Hand Delivery/Courier at the same address. A copy of the supporting statements for the collection of information discussed above may be obtained by visiting http://reginfo.gov. All SUMMARY: E:\FR\FM\21JAN1.SGM 21JAN1 3392 Federal Register / Vol. 81, No. 13 / Thursday, January 21, 2016 / Notices asabaliauskas on DSK9F6TC42PROD with NOTICES 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. FOR FURTHER INFORMATION CONTACT: Jacob Chachkin, Special Counsel, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission, (202) 418–5496, email: jchachkin@cftc.gov, and refer to OMB Control No. 3038– 0080. SUPPLEMENTARY INFORMATION: Title: Annual Report for Chief Compliance Officer of Registrants (OMB Control No. 3038–0080). This is a request for an extension of a currently approved information collection. Abstract: On April 3, 2012, the Commission adopted Commission regulation 3.3 (Chief Compliance Officer) 1 under sections 4d(d) and 4s(k) 2 of the Commodity Exchange Act (‘‘CEA’’). Commission regulation 3.3 requires each futures commission merchant (‘‘FCM’’),3 swap dealer (‘‘SD’’),4 and major swap participant (‘‘MSP’’) 5 to designate, by filing a form 8–R, a chief compliance officer who is responsible for developing and administering policies and procedures that fulfill certain duties of the FCM, SD, or MSP and that are reasonably designed to ensure the registrant’s compliance with the CEA and Commission regulations; establishing procedures for the remediation of noncompliance issues identified by the chief compliance officer; establishing procedures for the handling, management response, remediation, retesting, and closing of noncompliance issues; preparing, signing, certifying and filing with the Commission an annual compliance report that contains the information specified in the regulations; amending the annual report if material errors or omissions are identified; and maintaining records of the registrant’s compliance policies and procedures and records related to the annual report. The information collection obligations imposed by Commission regulation 3.3 are essential to ensuring that FCMs, SDs, and MSPs maintain comprehensive policies and procedures that promote compliance with the CEA and 1 17 CFR 3.3. U.S.C. 6d(d) and 6s(k). 3 For the definition of FCM, see section 1a(28) of the CEA and Commission regulation 1.3(p). 7 U.S.C. 1a(28) and 17 CFR 1.3(p). 4 For the definition of SD, see section 1a(49) of the CEA and Commission regulation 1.3(ggg). 7 U.S.C. 1a(49) and 17 CFR 1.3(ggg). 5 For the definitions of MSP, see section 1a(33) of the CEA and Commission regulation 1.3(hhh). 7 U.S.C. 1a(33) and 17 CFR 1.3(hhh). 27 VerDate Sep<11>2014 18:26 Jan 20, 2016 Jkt 238001 Commission regulations. In particular, the Commission believes that, among other things, these obligations (i) promote compliance behavior through periodic self-evaluation, (ii) inform the Commission of possible compliance weaknesses, (iii) assist the Commission in determining whether the registrant remains in compliance with the CEA and Commission regulations, and (iv) help the Commission to assess whether the registrant has mechanisms in place to adequately address compliance problems that could lead to a failure of the registrant. Burden Statement: In light of the current number of Commissionregistered FCMs, SDs, and MSPs, the Commission revised its estimate of the burden for this collection. Accordingly, the respondent burden for this collection is estimated to be as follows: Number of Registrants: 178. Estimated Average Burden Hours per Registrant: 1,006. Estimated Aggregate Burden Hours: 179,068. Frequency of Recordkeeping/Thirdparty Disclosure: Annually or on occasion. Authority: 44 U.S.C. 3501 et seq. Dated: January 15, 2016. Robert N. Sidman, Deputy Secretary of the Commission. [FR Doc. 2016–01139 Filed 1–20–16; 8:45 am] BILLING CODE 6351–01–P COUNCIL ON ENVIRONMENTAL QUALITY Opportunity for Sponsorship of the GreenGov Symposium Council on Environmental Quality. ACTION: Notice. GreenGov Symposium Call for Co-Sponsors. AGENCY: This notice informs the public of the opportunity for eligible nongovernmental entities to submit an application for co-sponsorship of a potential White House Council on Environmental Quality 2016 GreenGov Symposium. Those interested in becoming co-sponsors should submit an application for co-sponsorship by February 12, 2016. DATES: To be considered, applications for co-sponsorship must be received via email no later than 5:00 p.m. Eastern Standard Time on February 12, 2016. ADDRESSES: Submit applications and any supporting materials electronically to the White House Council on Environmental Quality, Office of Federal Sustainability, by sending them SUMMARY: PO 00000 Frm 00016 Fmt 4703 Sfmt 4703 via email to: Gordon_W_Weynand@ ceq.eop.gov. FOR FURTHER INFORMATION CONTACT: Gordon Weynand, Office of Federal Sustainability, White House Council on Environmental Quality, Gordon_W_ Weynand@ceq.eop.gov. SUPPLEMENTARY INFORMATION: Application Information: Only nongovernment entities that are not-forprofit corporations or entities are eligible for co-sponsorship of the 2016 GreenGov Symposium. Potential cosponsors could include, but are not limited to, registered 501(c)3 organizations and academic institutions. Eligible entities interested in cosponsoring the 2016 GreenGov Symposium effort should demonstrate and provide relevant information on: • Alignment of their organization’s mission and goals with the mission and goals of CEQ and the Office of Federal Sustainability and with the general purpose of the Symposium; • ability to contribute to selection of Symposium location(s), associated logistics, agenda planning, speaker proposal and selection, and event outreach; • experience working successfully with private sector, state and local government and academic sector stakeholders that would attend a GreenGov event; • ability to travel to various locations within the continental United States, if necessary to host GreenGov events; • technical and programmatic ability to support internet and web based production of GreenGov educational events; and, • ability to support both a major multiple day symposium event as well as limited topic specific seminars and workshops. Background: GreenGov is a CEQ initiative focused on Federal energy and sustainability efforts. Past GreenGov Symposiums brought sustainability leaders and newcomers in the Federal, state, and local government, academic, non-profit and private sectors together to learn from each other, share ideas, and help develop innovative solutions to energy and sustainability challenges in Federal operations. By design, the GreenGov Symposium helps the Federal community save energy, save money, and address sustainability goals and targets under Executive Order 13514: Federal Leadership in Environmental, Energy, and Economic Performance and under Executive Order 13693: Planning for Federal Sustainability in the Next Decade. Historical information on GreenGov is available at: http:// www.whitehouse.gov//greengov. E:\FR\FM\21JAN1.SGM 21JAN1

Agencies

[Federal Register Volume 81, Number 13 (Thursday, January 21, 2016)]
[Notices]
[Pages 3391-3392]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-01139]


-----------------------------------------------------------------------

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 
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 February 22, 2016.

ADDRESSES: Comments regarding the burden estimated 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 the notice's 
publication, by email at OIRAsubmissions@omb.eop.gov. Please identify 
the comments by OMB Control No. 3038-0080. Please provide the Commodity 
Futures Trading Commission (``CFTC'' or ``Commission'') with a copy of 
all submitted comments at the address listed below. Please refer to OMB 
Reference No. 3038-0080, found on http://reginfo.gov. Comments may also 
be mailed to the 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, 
or through the Agency's Web site at http://comments.cftc.gov. Follow 
the instructions for submitting comments through the Web site.
    Comments may also be mailed to: Christopher Kirkpatrick, Secretary 
of the Commission, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 or by Hand 
Delivery/Courier at the same address.
    A copy of the supporting statements for the collection of 
information discussed above may be obtained by visiting http://reginfo.gov. All

[[Page 3392]]

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.

FOR FURTHER INFORMATION CONTACT: Jacob Chachkin, Special Counsel, 
Division of Swap Dealer and Intermediary Oversight, Commodity Futures 
Trading Commission, (202) 418-5496, email: jchachkin@cftc.gov, and 
refer to OMB Control No. 3038-0080.

SUPPLEMENTARY INFORMATION: 
    Title: Annual Report for Chief Compliance Officer of Registrants 
(OMB Control No. 3038-0080). This is a request for an extension of a 
currently approved information collection.
    Abstract: On April 3, 2012, the Commission adopted Commission 
regulation 3.3 (Chief Compliance Officer) \1\ under sections 4d(d) and 
4s(k) \2\ of the Commodity Exchange Act (``CEA''). Commission 
regulation 3.3 requires each futures commission merchant (``FCM''),\3\ 
swap dealer (``SD''),\4\ and major swap participant (``MSP'') \5\ to 
designate, by filing a form 8-R, a chief compliance officer who is 
responsible for developing and administering policies and procedures 
that fulfill certain duties of the FCM, SD, or MSP and that are 
reasonably designed to ensure the registrant's compliance with the CEA 
and Commission regulations; establishing procedures for the remediation 
of noncompliance issues identified by the chief compliance officer; 
establishing procedures for the handling, management response, 
remediation, retesting, and closing of noncompliance issues; preparing, 
signing, certifying and filing with the Commission an annual compliance 
report that contains the information specified in the regulations; 
amending the annual report if material errors or omissions are 
identified; and maintaining records of the registrant's compliance 
policies and procedures and records related to the annual report.
---------------------------------------------------------------------------

    \1\ 17 CFR 3.3.
    \2\ 7 U.S.C. 6d(d) and 6s(k).
    \3\ For the definition of FCM, see section 1a(28) of the CEA and 
Commission regulation 1.3(p). 7 U.S.C. 1a(28) and 17 CFR 1.3(p).
    \4\ For the definition of SD, see section 1a(49) of the CEA and 
Commission regulation 1.3(ggg). 7 U.S.C. 1a(49) and 17 CFR 1.3(ggg).
    \5\ For the definitions of MSP, see section 1a(33) of the CEA 
and Commission regulation 1.3(hhh). 7 U.S.C. 1a(33) and 17 CFR 
1.3(hhh).
---------------------------------------------------------------------------

    The information collection obligations imposed by Commission 
regulation 3.3 are essential to ensuring that FCMs, SDs, and MSPs 
maintain comprehensive policies and procedures that promote compliance 
with the CEA and Commission regulations. In particular, the Commission 
believes that, among other things, these obligations (i) promote 
compliance behavior through periodic self-evaluation, (ii) inform the 
Commission of possible compliance weaknesses, (iii) assist the 
Commission in determining whether the registrant remains in compliance 
with the CEA and Commission regulations, and (iv) help the Commission 
to assess whether the registrant has mechanisms in place to adequately 
address compliance problems that could lead to a failure of the 
registrant.
    Burden Statement: In light of the current number of Commission-
registered FCMs, SDs, and MSPs, the Commission revised its estimate of 
the burden for this collection. Accordingly, the respondent burden for 
this collection is estimated to be as follows:
    Number of Registrants: 178.
    Estimated Average Burden Hours per Registrant: 1,006.
    Estimated Aggregate Burden Hours: 179,068.
    Frequency of Recordkeeping/Third-party Disclosure: Annually or on 
occasion.

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

    Dated: January 15, 2016.
Robert N. Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2016-01139 Filed 1-20-16; 8:45 am]
 BILLING CODE 6351-01-P