Agency Information Collection Activities Under OMB Review, 53125-53127 [2016-19127]

Download as PDF Federal Register / Vol. 81, No. 155 / Thursday, August 11, 2016 / Notices DEPARTMENT OF COMMERCE National Telecommunications and Information Administration Fostering the Advancement of the Internet of Things Workshop National Telecommunications and Information Administration, U.S. Department of Commerce. ACTION: Notice of open meeting. AGENCY: The National Telecommunications and Information Administration (NTIA) will convene a workshop on behalf of the U.S. Department of Commerce’s Internet Policy Task Force and the Digital Economy Leadership Team on Fostering the Advancement of the Internet of Things. DATES: The workshop will be held on September 1, 2016, from 9:00 a.m. to 3:00 p.m., Eastern Daylight Time. ADDRESSES: The workshop will be held at the U.S. Patent and Trademark Office, 600 Dulany Street, Alexandria, Virginia 22314. The location of the meeting is subject to change. Please refer to NTIA’s Web site, http://www.ntia.doc.gov/ category/internet-things, for the most current information. FOR FURTHER INFORMATION CONTACT: Travis Hall, National Telecommunications and Information Administration, U.S. Department of Commerce, 1401 Constitution Avenue NW., Room 4725, Washington, DC 20230; telephone (202) 482–3522; email thall@ntia.doc.gov. Please direct media inquiries to NTIA’s Office of Public Affairs, (202) 482–7002; email press@ ntia.doc.gov. SUPPLEMENTARY INFORMATION: Recognizing the vital importance of the Internet to U.S. innovation, prosperity, education, and civic and cultural life, the Department of Commerce has made it a top priority to encourage growth of the digital economy and ensure that the Internet remains an open platform for innovation and free expression. As part of the Department’s Digital Economy Agenda, the National Telecommunications and Information Administration (NTIA) initiated an inquiry regarding the Internet of Things (IoT) to review the current technological and policy landscape, which included a Request for Comment on ‘‘The Benefits, Challenges, and Potential Roles for the Government in Fostering the Advancement of the Internet of Things.’’ 1 This workshop will build on sradovich on DSK3GMQ082PROD with NOTICES SUMMARY: 1 Request for Comments on the Benefits, Challenges, and Potential Roles for Government in Fostering the Advancement of the Internet of VerDate Sep<11>2014 17:44 Aug 10, 2016 Jkt 238001 the comments received in the Request for Comment, focusing specifically on the potential benefits and challenges of these technologies and what role, if any, the U.S. Government should play in this area. This workshop will help to inform the Department’s forthcoming issuespotting, agenda-setting green paper on IoT. NTIA will post a detailed agenda on its Web site, www.ntia.doc.gov/ category/internet-things, prior to the meeting. The workshop will consist of a number of panels and speakers that will explore in more depth the obstacles and opportunities raised by commenters on the federal government’s role in IoT deployment. Agenda topics and format are subject to change. The meeting is open to the public and the press. The meeting is physically accessible to people with disabilities. Requests for sign language interpretation or other auxiliary aids should be directed to Travis Hall at (202) 482–3522 or thall@ntia.doc.gov at least seven (7) business days prior to the meeting. The meeting will also be webcast. Requests for real-time captioning of the webcast or other auxiliary aids should be directed to Travis Hall at (202) 482–3522 or thall@ ntia.doc.gov at least seven (7) business days prior to the meeting. Please refer to NTIA’s Web site, http://www.ntia.doc. gov/category/internet-things, for the most current information. Dated: August 5, 2016. Angela M. Simpson, Deputy Assistant Secretary, National Telecommunications and Information Administration. [FR Doc. 2016–19048 Filed 8–10–16; 8:45 am] BILLING CODE 3510–60–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 SUMMARY: Things (Apr. 5, 2016) available at https://www.ntia. doc.gov/federal-register-notice/2016/rfc-potentialroles-government-fostering-advancement-internetof-things. PO 00000 Frm 00008 Fmt 4703 Sfmt 4703 53125 information collection and its expected costs and burden. DATES: Comments must be submitted on or before September 12, 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–NEW. 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–NEW, 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, and to: Nisha Smalls, Office of Customer Education and Outreach, Commodity Futures Trading Commission, 1155 21st Street NW., Washington, DC 20581; 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 sent by hand delivery/courier to the same address. A copy of the supporting statements for the collection of information discussed above may be obtained by visiting reginfo.gov. 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. FOR FURTHER INFORMATION CONTACT: Nisha Smalls, Office of Customer Education and Outreach, Commodity Futures Trading Commission, 1155 21st Street NW., Washington, DC 20581, (202) 418–5895; FAX: (202) 418–5541; email: nsmalls@cftc.gov and refer to this Federal Register notice. A copy may also be obtained from this contact. SUPPLEMENTARY INFORMATION: The Commission’s Office of Customer Education and Outreach (OCEO) develops campaigns to change customer behaviors, so that customers can better avoid fraud as defined under the Commodity Exchange Act. The OCEO intends to survey the public by E:\FR\FM\11AUN1.SGM 11AUN1 53126 Federal Register / Vol. 81, No. 155 / Thursday, August 11, 2016 / Notices correct respondents and questions to determine if the CFTC’s SmartCheckSM campaign is helping customers identify, avoid, and report financial fraud. The OCEO will use the information collected in the survey to refine the methods used to inform the public about how to best detect and report financial fraud. This will be done by creating a final summary report that includes key findings from the survey. Findings from the summary report will be used to directionally inform the outreach efforts that the CFTC undertakes concerning helping customers avoid financial fraud. The survey will be administered using an online survey tool. The online modality approach will allow presentation of test material to participants in a more convenient and time-efficient manner than other identifying customers and determining if the CFTC’s SmartCheckSM campaign is helping them to identify, avoid, and report financial fraud. Title: CFTC SmartCheck Annual Campaign Impact Tracking Survey, (OMB Control No. 3038–NEW). This is a request for approval of a new collection. Abstract: In 2010, the Dodd-Frank Act 1 expanded the Commission’s authority to, among other matters related to regulatory oversight, establish funding of consumer education initiatives under its new Whistleblower authority.2 Under this new authority, the Commission established the OCEO to, among other efforts, survey the public regarding consumer education initiatives.3 This notice announces a public survey. This survey will include screening questions to identify the collection methods such as mall intercepts. The online method also allows for a quicker turnaround for data collection. No other collection methods will be used. Burden Statement: The screening questions will take about 1 minute to complete. It is anticipated that 4,000 people will be screened. The survey will take about 15 minutes. The cost of the screener survey will be approximately $3,125, which equates to $46.85 per burden hour. 2,000 people will take the 15 minute survey. The cost of the full survey will be approximately $46,875, which equates to $93.75 per burden hour. Based on these assumptions, the total burden hours will be 566.7 hours. The Commission estimates the average burden of this collection of information as follows: ESTIMATED ANNUAL REPORTING BURDEN HOURS Annual reporting 17 CFR 165.12 ................ 2,000 Hours per report 1 response per respondent. 1 response per respondent. 4,000 17 CFR 165.12 ................ Frequency of reporting 1 minute per response .... 4,000 66.7 hours total burden. 15 minutes per response 2,000 500 hours total burden. how likely are you to be involved in making decisions for your household? The proposed survey questions appear below: CFTC SmartCheck Annual Campaign Impact Tracking Survey 1 2 3 4 CFTC TARGET = Age 50–65; HH income 60k+; Answers 1 or 2 for question 1; Invests in 2 or more products in question 2 1. When it comes to family and personal investments like stocks, mutual funds, or other trading products, 5. ....... 6. ....... sradovich on DSK3GMQ082PROD with NOTICES 7. ....... Very likely. Somewhat likely. Not too likely. Not at all likely. 1 ....... 2 ....... 3 4 5 6 ....... ....... ....... ....... Foreign currency trading (FOREX). Any type of futures or options. None of these [Single Punch (SP)]. Don’t know [SP]. Survey [Grid, SP Across] 2. Below is a list of financial products. Please select all that you currently are invested in or have invested in. Screener 3. ....... 4. ....... ....... ....... ....... ....... Total Please answer yes or no to each of the following questions. Yes 1 Stocks or shares. Precious metals like gold or silver. No 2 Have you read, seen, or heard anything about the Commodity Futures Trading Commission (CFTC)? Have you read, seen, or heard anything about CFTC SmartCheck, a campaign that promotes expert tools and resources to check the background of financial professionals, learn how to avoid investment fraud, and report suspicious activity? Have you read, seen, or heard anything about SmartCheck.gov, a website that links to databases which allow investors to check the background of financial professionals? Have you read, seen, or heard anything about Investor.gov, a website that allows you to check the background of investment adviser representatives and firms? Have you read, seen, or heard anything about BrokerCheck.org, a website that allows you to check the background of brokers who sell stocks, bonds, mutual funds and other securities? [Grid, SP Across. Randomize Grid Rows] complete. Please indicate how likely or unlikely you are to complete the actions using the scale below. If you were considering investing with someone you Below are a number of actions that you may or may not be likely to 1 See Dodd-Frank Wall Street Reform and Consumer Protection Act, Public Law 111–203, 124 Stat. 1376 (2010). The text of the Dodd-Frank Act VerDate Sep<11>2014 17:44 Aug 10, 2016 Jkt 238001 may be accessed at http://www.cftc.gov/ LawRegulation/DoddFrankAct/index.htm. PO 00000 Frm 00009 Fmt 4703 Sfmt 4703 had not invested with before, how likely are you to: 2 See 3 See E:\FR\FM\11AUN1.SGM 7 U.S.C. 26. 17 CFR 165.12. 11AUN1 53127 Federal Register / Vol. 81, No. 155 / Thursday, August 11, 2016 / Notices Very likely 10. .... 11. .... 12. .... 13. .... 14. .... 15. .... 16. .... Not likely or unlikely Not too likely Not at all Likely 1 8. ...... 9. ...... Somewhat likely 2 3 4 5 [SP] 18. If you suspected an investment you were aware of was fraudulent, how likely would you be to report it to a government financial agency such as the U.S. Commodity Futures Trading Commission (CFTC) or the U.S. Securities and Exchange Commission (SEC)? 4 ....... Review performance history. Talk to references and/or past clients. Confirm certifications and/or education. Perform a general Internet search. Check disciplinary history with an official financial regulator. Check licensing and/or registration status with an official financial regulator. Personally interview. Check job affiliations with an official financial regulator. None of these/don’t know [SP]. [SP] 17. Generally speaking, how concerned are you about unknowingly being part of a fraudulent investment? 1 2 3 4 ....... ....... ....... ....... Very concerned. Somewhat concerned. Not too concerned. Not at all concerned. [MP; Randomize Leaving Last 1 at the End] 20. Which, if any, of the following do you think are potential signs of investment fraud? If the person selling the investment . . . 1 ....... 1 2 3 4 ....... ....... ....... ....... Very likely. Somewhat likely. Not too likely. Not at all likely. 2 ....... 3 ....... [SP] 19. If you became aware that an investment you were already a part of was fraudulent, how likely would you be to report it to a government financial agency such as the U.S. Commodity Futures Trading Commission (CFTC) or the U.S. Securities and Exchange Commission (SEC)? 1 ....... 2 ....... 3 ....... Very likely. Somewhat likely. Not too likely. Not at all likely. 4 ....... 5 ....... 6 ....... said the investment has a guaranteed rate of return. said s/he has a special credential, so they can be trusted. said that many of your friends have already invested in the opportunity. was willing to charge you half of the regular commission. said the opportunity was closing soon, so it was important to act quickly. None of these [SP]. [Grid, SP Across. Randomize Grid Rows] Below are a number of statements with which you may or may not agree. Please indicate how much you agree or disagree with each statement. Strongly disagree Neither agree nor disagree Somewhat agree Strongly agree 1 21. 22. 23. 24. 25. 26. 27. 28. Somewhat disagree 2 3 4 5 ..... ..... ..... ..... ..... ..... ..... ..... It is important to know the common signs of fraud when investing. The government reviews and investigates all alleged reports of investment fraud. I know where to go to report suspected or known incidents of investment fraud. I know where to go to check the background of a financial professional. Before I invest, it is important to check the registration and/or licensing status of a financial professional. Each year, it is important to check the registration and/or licensing of a financial professional with whom I invest. Before I invest, it is important to check the disciplinary history of a financial professional. Each year, it is important to check the disciplinary history of a financial professional. (Authority: 44 U.S.C. 3501 et seq.) information under the provisions of the Paperwork Reduction Act. Dated: August 8, 2016. Christopher J. Kirkpatrick, Secretary of the Commission. Consideration will be given to all comments received by September 12, 2016. DATES: [FR Doc. 2016–19127 Filed 8–10–16; 8:45 am] BILLING CODE 6351–01–P FOR FURTHER INFORMATION CONTACT: Fred Licari, 571–372–0493. DEPARTMENT OF DEFENSE SUPPLEMENTARY INFORMATION: Department of the Army sradovich on DSK3GMQ082PROD with NOTICES [Docket ID USA–2016–HQ–0009] Submission for OMB Review; Comment Request ACTION: Notice. The Department of Defense has submitted to OMB for clearance, the following proposal for collection of SUMMARY: VerDate Sep<11>2014 17:44 Aug 10, 2016 Jkt 238001 Title, Associated Form and OMB Number: Exchange Employee Management and Pay System; Exchange Form 1400–011 ‘‘Annuity Application’’, Exchange From 1450–018 ‘‘Application for Payment of Survivor Annuity’’, Exchange Form 1700–012 ‘‘Beneficiary Designation’’, Exchange Form 6650–007 ‘‘Patient Health Questionnaire’’, Webbased ‘‘Health/Benefit Enrollment’’; OMB Control Number: 0702–XXXX. PO 00000 Frm 00010 Fmt 4703 Sfmt 4703 Type of Request: In existence without OMB Control Number. Number of Respondents: 7650. Responses per Respondent: 1. Annual Responses: 7650. Average Burden per Response: 115 minutes. Annual Burden Hours: 2533 hours. Needs and Uses: The information collection requirement is necessary to administer a number of different benefits and pay available to eligible Exchange associates, former associates (retirees), their personal dependents, beneficiaries, spouses, and ex-spouses. This includes collecting data needed to provide and administer pay, salary and retirement funds/entitlements. Affected Public: Individuals or households and Federal Government. Frequency: On occasion. E:\FR\FM\11AUN1.SGM 11AUN1

Agencies

[Federal Register Volume 81, Number 155 (Thursday, August 11, 2016)]
[Notices]
[Pages 53125-53127]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-19127]


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

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 September 12, 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-NEW. 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-NEW, 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, 
and to: Nisha Smalls, Office of Customer Education and Outreach, 
Commodity Futures Trading Commission, 1155 21st Street NW., Washington, 
DC 20581; 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 sent 
by hand delivery/courier to the same address.
    A copy of the supporting statements for the collection of 
information discussed above may be obtained by visiting reginfo.gov. 
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.

FOR FURTHER INFORMATION CONTACT: Nisha Smalls, Office of Customer 
Education and Outreach, Commodity Futures Trading Commission, 1155 21st 
Street NW., Washington, DC 20581, (202) 418-5895; FAX: (202) 418-5541; 
email: nsmalls@cftc.gov and refer to this Federal Register notice. A 
copy may also be obtained from this contact.

SUPPLEMENTARY INFORMATION: The Commission's Office of Customer 
Education and Outreach (OCEO) develops campaigns to change customer 
behaviors, so that customers can better avoid fraud as defined under 
the Commodity Exchange Act. The OCEO intends to survey the public by

[[Page 53126]]

identifying customers and determining if the CFTC's SmartCheck\SM\ 
campaign is helping them to identify, avoid, and report financial 
fraud.
    Title: CFTC SmartCheck Annual Campaign Impact Tracking Survey, (OMB 
Control No. 3038-NEW). This is a request for approval of a new 
collection.
    Abstract: In 2010, the Dodd-Frank Act \1\ expanded the Commission's 
authority to, among other matters related to regulatory oversight, 
establish funding of consumer education initiatives under its new 
Whistleblower authority.\2\ Under this new authority, the Commission 
established the OCEO to, among other efforts, survey the public 
regarding consumer education initiatives.\3\ This notice announces a 
public survey. This survey will include screening questions to identify 
the correct respondents and questions to determine if the CFTC's 
SmartCheck\SM\ campaign is helping customers identify, avoid, and 
report financial fraud.
---------------------------------------------------------------------------

    \1\ See Dodd-Frank Wall Street Reform and Consumer Protection 
Act, Public Law 111-203, 124 Stat. 1376 (2010). The text of the 
Dodd-Frank Act may be accessed at http://www.cftc.gov/LawRegulation/DoddFrankAct/index.htm.
    \2\ See 7 U.S.C. 26.
    \3\ See 17 CFR 165.12.
---------------------------------------------------------------------------

    The OCEO will use the information collected in the survey to refine 
the methods used to inform the public about how to best detect and 
report financial fraud. This will be done by creating a final summary 
report that includes key findings from the survey.
    Findings from the summary report will be used to directionally 
inform the outreach efforts that the CFTC undertakes concerning helping 
customers avoid financial fraud.
    The survey will be administered using an online survey tool. The 
online modality approach will allow presentation of test material to 
participants in a more convenient and time-efficient manner than other 
collection methods such as mall intercepts. The online method also 
allows for a quicker turnaround for data collection. No other 
collection methods will be used.
    Burden Statement: The screening questions will take about 1 minute 
to complete. It is anticipated that 4,000 people will be screened. The 
survey will take about 15 minutes. The cost of the screener survey will 
be approximately $3,125, which equates to $46.85 per burden hour. 2,000 
people will take the 15 minute survey. The cost of the full survey will 
be approximately $46,875, which equates to $93.75 per burden hour. 
Based on these assumptions, the total burden hours will be 566.7 hours. 
The Commission estimates the average burden of this collection of 
information as follows:

                                     Estimated Annual Reporting Burden Hours
----------------------------------------------------------------------------------------------------------------
                                   Annual        Frequency of      Hours per
                                  reporting       reporting          report           Total
----------------------------------------------------------------------------------------------------------------
17 CFR 165.12................           4,000  1 response per   1 minute per              4,000  66.7 hours
                                                respondent.      response.                        total burden.
17 CFR 165.12................           2,000  1 response per   15 minutes per            2,000  500 hours total
                                                respondent.      response.                        burden.
----------------------------------------------------------------------------------------------------------------

    The proposed survey questions appear below:

CFTC SmartCheck Annual Campaign Impact Tracking Survey

CFTC TARGET = Age 50-65; HH income 60k+; Answers 1 or 2 for question 1; 
Invests in 2 or more products in question 2

Screener

    1. When it comes to family and personal investments like stocks, 
mutual funds, or other trading products, how likely are you to be 
involved in making decisions for your household?

------------------------------------------------------------------------
 
------------------------------------------------------------------------
1...............................  Very likely.
2...............................  Somewhat likely.
3...............................  Not too likely.
4...............................  Not at all likely.
------------------------------------------------------------------------

    2. Below is a list of financial products. Please select all that 
you currently are invested in or have invested in.

------------------------------------------------------------------------
 
------------------------------------------------------------------------
1...............................  Stocks or shares.
2...............................  Precious metals like gold or silver.
3...............................  Foreign currency trading (FOREX).
4...............................  Any type of futures or options.
5...............................  None of these [Single Punch (SP)].
6...............................  Don't know [SP].
------------------------------------------------------------------------

Survey

[Grid, SP Across]
    Please answer yes or no to each of the following questions.

------------------------------------------------------------------------
                Yes                                   No
------------------------------------------------------------------------
                       1                                    2
------------------------------------------------------------------------


------------------------------------------------------------------------
 
------------------------------------------------------------------------
3.......................  Have you read, seen, or heard anything about
                           the Commodity Futures Trading Commission
                           (CFTC)?
4.......................  Have you read, seen, or heard anything about
                           CFTC SmartCheck, a campaign that promotes
                           expert tools and resources to check the
                           background of financial professionals, learn
                           how to avoid investment fraud, and report
                           suspicious activity?
5.......................  Have you read, seen, or heard anything about
                           SmartCheck.gov, a website that links to
                           databases which allow investors to check the
                           background of financial professionals?
6.......................  Have you read, seen, or heard anything about
                           Investor.gov, a website that allows you to
                           check the background of investment adviser
                           representatives and firms?
7.......................  Have you read, seen, or heard anything about
                           BrokerCheck.org, a website that allows you to
                           check the background of brokers who sell
                           stocks, bonds, mutual funds and other
                           securities?
------------------------------------------------------------------------

[Grid, SP Across. Randomize Grid Rows]
    Below are a number of actions that you may or may not be likely to 
complete. Please indicate how likely or unlikely you are to complete 
the actions using the scale below. If you were considering investing 
with someone you had not invested with before, how likely are you to:

[[Page 53127]]



----------------------------------------------------------------------------------------------------------------
                                                  Not likely or
     Very likely          Somewhat likely            unlikely            Not too likely       Not at all Likely
----------------------------------------------------------------------------------------------------------------
                  1                      2                      3                      4                     5
----------------------------------------------------------------------------------------------------------------


------------------------------------------------------------------------
 
------------------------------------------------------------------------
8...............................  Review performance history.
9...............................  Talk to references and/or past
                                   clients.
10..............................  Confirm certifications and/or
                                   education.
11..............................  Perform a general Internet search.
12..............................  Check disciplinary history with an
                                   official financial regulator.
13..............................  Check licensing and/or registration
                                   status with an official financial
                                   regulator.
14..............................  Personally interview.
15..............................  Check job affiliations with an
                                   official financial regulator.
16..............................  None of these/don't know [SP].
------------------------------------------------------------------------

[SP]
    17. Generally speaking, how concerned are you about unknowingly 
being part of a fraudulent investment?

------------------------------------------------------------------------
 
------------------------------------------------------------------------
1...............................  Very concerned.
2...............................  Somewhat concerned.
3...............................  Not too concerned.
4...............................  Not at all concerned.
------------------------------------------------------------------------

[SP]
    18. If you suspected an investment you were aware of was 
fraudulent, how likely would you be to report it to a government 
financial agency such as the U.S. Commodity Futures Trading Commission 
(CFTC) or the U.S. Securities and Exchange Commission (SEC)?

------------------------------------------------------------------------
 
------------------------------------------------------------------------
1...............................  Very likely.
2...............................  Somewhat likely.
3...............................  Not too likely.
4...............................  Not at all likely.
------------------------------------------------------------------------

[SP]
    19. If you became aware that an investment you were already a part 
of was fraudulent, how likely would you be to report it to a government 
financial agency such as the U.S. Commodity Futures Trading Commission 
(CFTC) or the U.S. Securities and Exchange Commission (SEC)?

------------------------------------------------------------------------
 
------------------------------------------------------------------------
1...............................  Very likely.
2...............................  Somewhat likely.
3...............................  Not too likely.
4...............................  Not at all likely.
------------------------------------------------------------------------

[MP; Randomize Leaving Last 1 at the End]
    20. Which, if any, of the following do you think are potential 
signs of investment fraud? If the person selling the investment . . .

------------------------------------------------------------------------
 
------------------------------------------------------------------------
1...............................  said the investment has a guaranteed
                                   rate of return.
2...............................  said s/he has a special credential, so
                                   they can be trusted.
3...............................  said that many of your friends have
                                   already invested in the opportunity.
4...............................  was willing to charge you half of the
                                   regular commission.
5...............................  said the opportunity was closing soon,
                                   so it was important to act quickly.
6...............................  None of these [SP].
------------------------------------------------------------------------

[Grid, SP Across. Randomize Grid Rows]
    Below are a number of statements with which you may or may not 
agree. Please indicate how much you agree or disagree with each 
statement.

----------------------------------------------------------------------------------------------------------------
                                                Neither agree nor
  Strongly disagree      Somewhat disagree           disagree            Somewhat agree        Strongly agree
----------------------------------------------------------------------------------------------------------------
                  1                      2                      3                      4                     5
----------------------------------------------------------------------------------------------------------------


------------------------------------------------------------------------
 
------------------------------------------------------------------------
21......................  It is important to know the common signs of
                           fraud when investing.
22......................  The government reviews and investigates all
                           alleged reports of investment fraud.
23......................  I know where to go to report suspected or
                           known incidents of investment fraud.
24......................  I know where to go to check the background of
                           a financial professional.
25......................  Before I invest, it is important to check the
                           registration and/or licensing status of a
                           financial professional.
26......................  Each year, it is important to check the
                           registration and/or licensing of a financial
                           professional with whom I invest.
27......................  Before I invest, it is important to check the
                           disciplinary history of a financial
                           professional.
28......................  Each year, it is important to check the
                           disciplinary history of a financial
                           professional.
------------------------------------------------------------------------


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


    Dated: August 8, 2016.
Christopher J. Kirkpatrick,
Secretary of the Commission.
[FR Doc. 2016-19127 Filed 8-10-16; 8:45 am]
BILLING CODE 6351-01-P