Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0103, Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports), 12944-12946 [2017-04538]

Download as PDF 12944 Federal Register / Vol. 82, No. 44 / Wednesday, March 8, 2017 / Notices monuments. National marine sanctuaries protect our nation’s most vital coastal and marine natural and cultural resources, and through active research, management, and public engagement, sustain healthy environments that are the foundation for thriving communities and stable economies. One of the many ways ONMS ensures public participation in the designation and management of national marine sanctuaries is through the formation of advisory councils. The Sanctuary System Business Advisory Council (council) has been formed to provide advice and recommendations to the Director regarding the relationship of ONMS with the business community. Additional information on the council can be found at http:// sanctuaries.noaa.gov/management/ac/ welcome.html. Matters to be Considered: The meeting will provide an opportunity for council members to hear news from across the National Marine Sanctuary System and review and comment on program initiatives. For a complete agenda, including times and topics, please visit http://sanctuaries.noaa.gov/ management/bac/meetings.html. Authority: 16 U.S.C. Sections 1431, et seq. (Federal Domestic Assistance Catalog Number 11.429 Marine Sanctuary Program) Dated: March 1, 2017. John Armor, Director, Office of National Marine Sanctuaries, National Ocean Service, National Oceanic and Atmospheric Administration. [FR Doc. 2017–04520 Filed 3–7–17; 8:45 am] BILLING CODE 3510–NK–P COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Notice of Intent To Renew Collection 3038–0103, Ownership and Control Reports, Forms 102/102S, 40/ 40S, and 71 (Trader and Account Identification Reports) Commodity Futures Trading Commission. ACTION: Notice. AGENCY: The Commodity Futures Trading Commission (‘‘CFTC’’ or ‘‘Commission’’) is announcing an opportunity for public comment on the proposed renewal of the collection of certain information by the agency. Under the Paperwork Reduction Act (‘‘PRA’’), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of mstockstill on DSK3G9T082PROD with NOTICES SUMMARY: VerDate Sep<11>2014 17:34 Mar 07, 2017 Jkt 241001 information and to allow 60 days for public comment. This notice solicits comments in connection with information collection requirements under certain rules and related forms (the ‘‘final rules’’) that the Commission adopted to enhance its identification of futures and swap market participants. DATES: Comments must be submitted on or before May 8, 2017. ADDRESSES: You may submit comments, identified by OMB Control No. 3038– 0103, by any of the following methods: • The Agency’s Web site, at http:// comments.cftc.gov/. Follow the instructions for submitting comments through the Web site. • Mail: Christopher Kirkpatrick, Secretary of the Commission, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581. • Hand Delivery/Courier: Same as Mail above. • Federal eRulemaking Portal: http:// www.regulations.gov/. Follow the instructions for submitting comments through the Portal. Please submit your comments using only one method. FOR FURTHER INFORMATION CONTACT: Joseph Otchin, Special Counsel, Division of Market Oversight, at 202– 418–5623 or jotchin@cftc.gov, and refer to OMB Control No 3038–0103. SUPPLEMENTARY INFORMATION: Under the PRA, Federal agencies must obtain approval from the Office of Management and Budget (OMB) for each collection of information they conduct or sponsor. ‘‘Collection of Information’’ is defined in 44 U.S.C. 3502(3) and 5 CFR 1320.3 and includes agency requests or requirements that members of the public submit reports, keep records, or provide information to a third party. Section 3506(c)(2)(A) of the PRA, 44 U.S.C. 3506(c)(2)(A), requires Federal agencies to provide a 60-day notice in the Federal Register concerning each proposed collection of information before submitting the collection to OMB for approval. To comply with this requirement, the CFTC is publishing notice of the proposed collection of information listed below. Title: Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports) (OMB Control No. 3038–0103). This is a request for extension of a currently approved information collection. Abstract: The final rules 1 created new information collection requirements via 1 See Commission, Final Rule: Ownership and Control Reports, Forms 102/102S, 40/40S, and 71, PO 00000 Frm 00020 Fmt 4703 Sfmt 4703 §§ 17.01, 18.04, 18.05, and 20.5. Specifically, § 17.01 provides for the filing of Form 102A, Form 102B and Form 71, as follows: • Pursuant to § 17.01(a), futures commission merchants (‘‘FCMs’’), clearing members, and foreign brokers shall identify new special accounts to the Commission on Form 102A; • pursuant to § 17.01(b), clearing members shall identify volume threshold accounts to the Commission on Form 102B; and • pursuant to § 17.01(c), omnibus volume threshold account originators and omnibus reportable sub-account originators shall identify reportable subaccounts to the Commission on Form 71 when requested via a special call by the Commission or its designee. Additional reporting requirements arise from § 18.04, which results in the collection of information via Form 40 from and regarding traders who own, hold, or control reportable positions; volume threshold account controllers; persons who own volume threshold accounts; reportable sub-account controllers; and persons who own reportable sub-accounts. Reporting requirements also arise from § 20.5(a), which requires all reporting entities to submit Form 102S for swap counterparty or customer consolidated accounts with reportable positions. In addition, § 20.5(b) requires every person subject to books or records under current § 20.6 to complete a 40S filing after a special call upon such person by the Commission. In addition to the reporting requirements summarized above, § 18.05 imposes recordkeeping requirements upon: (1) Traders who own, hold, or control a reportable futures or options on futures position; (2) volume threshold account controllers; (3) persons who own volume threshold accounts; (4) reportable sub-account controllers; and (5) persons who own reportable subaccounts. With respect to the collection of information, the CFTC invites comments on: • Whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information will have a practical use; • The accuracy of the Commission’s estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; 78 FR 69178 (November 18, 2013). Terms used herein and not otherwise defined herein shall have the meaning assigned to such terms in the final rules or in the Commission’s regulations. E:\FR\FM\08MRN1.SGM 08MRN1 Federal Register / Vol. 82, No. 44 / Wednesday, March 8, 2017 / Notices • Ways to enhance the quality, usefulness, and clarity of the information to be collected; and • Ways to minimize the burden of collection of information on those who are to respond, including through the use of appropriate automated electronic, mechanical, or other technological collection techniques or other forms of information technology; e.g., permitting electronic submission of responses. All comments must be submitted in English, or if not, accompanied by an English translation. Comments will be posted as received to http:// www.cftc.gov. You should submit only information that you wish to make available publicly. If you wish the Commission to consider information that you believe is exempt from disclosure under the Freedom of Information Act, a petition for confidential treatment of the exempt information may be submitted according to the procedures established in § 145.9 of the Commission’s regulations.2 The Commission reserves the right, but shall have no obligation, to review, pre-screen, filter, redact, refuse or remove any or all of your submission 12945 from http://www.cftc.gov that it may deem to be inappropriate for publication, such as obscene language. All submissions that have been redacted or removed that contain comments on the merits of the Information Collection Request will be retained in the public comment file and will be considered as required under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. Burden Statement: The Commission estimates the burden of this collection of information as follows: FORM 102A Type of respondent Number of reporting parties per year Annualized burden per reporting party (hours) Total annual industry burden (hours) Estimated wage rate Annual industry costs FCMs, clearing members, and foreign brokers ................... 260 106 27,560 $70.07 $1,931,129 Type of respondent Number of reporting parties per year Annualized burden per reporting party (hours) Total annual industry burden (hours) Estimated wage rate Annual industry costs Clearing members ................................................................ 175 106 18,550 $70.07 $1,299,799 Number of responses per year Annual burden per response (hours) Total annual industry burden (hours) Estimated wage rate Annual industry costs 762 8 6,096 $70.07 $427,147 FORM 102B FORM 71 Type of respondent Originators of omnibus volume threshold accounts or omnibus reportable sub-accounts ......................................... FORM 40 [Arising from Form 102A] Type of respondent Number of responses per year Annualized burden per response (hours) Total annual industry burden (hours) Estimated wage rate Annual industry costs Special account owners and controllers .............................. 5,250 3 15,750 $70.07 $1,103,603 FORM 40 [Arising from Form 102B and Form 71] Number of responses per year mstockstill on DSK3G9T082PROD with NOTICES Type of respondent Annualized burden per response (hours) Total annual industry burden (hours) Estimated wage rate Annual industry costs 18,920 3 56,760 $70.07 $3,977,173 Volume threshold account controllers and owners, reportable sub-account controllers and owners ........................ 2 17 CFR 145.9. VerDate Sep<11>2014 17:34 Mar 07, 2017 Jkt 241001 PO 00000 Frm 00021 Fmt 4703 Sfmt 4703 E:\FR\FM\08MRN1.SGM 08MRN1 12946 Federal Register / Vol. 82, No. 44 / Wednesday, March 8, 2017 / Notices FORM 102S Type of respondent Number of reporting parties per year Annualized burden per reporting party (hours) Total annual industry burden (hours) Estimated wage rate Annual industry costs Clearing members and swap dealers .................................. 39 106 4,134 $70.07 $289,669 Number of responses per year Annualized burden per response (hours) Total annual industry burden (hours) Estimated wage rate Annual industry costs 2,508 3 7,524 $70.07 $527,207 FORM 40S Type of respondent Persons subject to books and records requirements under § 20.6 ................................................................................ § 18.05—RECORDKEEPING BURDEN Number of responses per year Type of respondent Annual burden per response (hours) Total annual industry burden (hours) Estimated wage rate Annual industry costs 53 5 265 $70.07 $18,569 Volume threshold account controllers and owners, reportable sub-account controllers and owners, and traders who own, hold, or control reportable futures or option positions ........................................................................... (Authority: 44 U.S.C. 3501 et seq.) Facsimile: (937) 255–3733; Email: afmclo.jaz.tech@us.af.mil. DEPARTMENT OF DEFENSE Dated: March 3, 2017. Robert N. Sidman, Deputy Secretary of the Commission. Department of the Air Force [FR Doc. 2017–04538 Filed 3–7–17; 8:45 am] BILLING CODE 6351–01–P Department of the Air Force, Department of Defense. ACTION: Notice of intent. AGENCY: COMMODITY FUTURES TRADING COMMISSION CONTACT PERSON FOR MORE INFORMATION: Pursuant to the Bayh-Dole Act and implementing regulations, the Department of the Air Force hereby gives notice of its intent to grant an exclusive patent license agreement to SP Global, Incorporated, a corporation of the State of Virginia, having a place of business at 14800 Conference Center Drive, Suite 300, Chantilly, VA 20151. DATES: Written objections must be filed no later than fifteen (15) calendar days after the date of publication of this Notice. Christopher Kirkpatrick, 202–418–5964. ADDRESSES: SUMMARY: Sunshine Act Meetings FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT: 82 FR 12348, March 2, 2017. PREVIOUSLY ANNOUNCED TIME AND DATE OF THE MEETING: 11:00 a.m., Thursday, March 9, 2017. CHANGES IN THE MEETING: The meeting has been cancelled. mstockstill on DSK3G9T082PROD with NOTICES Christopher J. Kirkpatrick, Secretary of the Commission. [FR Doc. 2017–04594 Filed 3–6–17; 11:15 am] BILLING CODE 6351–01–P VerDate Sep<11>2014 17:34 Mar 07, 2017 Jkt 241001 Submit written objections to the Air Force Materiel Command Law Office, AFMCLO/JAZ, 2240 B Street, Room 260, Wright-Patterson AFB, OH 45433–7109; Facsimile: (937) 255–3733; or Email: afmclo.jaz.tech@us.af.mil. Include Docket No. AFD–1523 in the subject line of the message. FOR FURTHER INFORMATION CONTACT: Air Force Materiel Command Law Office, AFMCLO/JAZ, 2240 B Street, Rm. 260, Wright-Patterson AFB, OH 45433–7109; PO 00000 Frm 00022 Fmt 4703 Sfmt 9990 The Department of the Air Force intends to grant the exclusive patent license agreement for the invention described in: SUPPLEMENTARY INFORMATION: Notice of Intent To Grant [An Exclusive] [A Partially Exclusive] Patent License —U.S. Patent Application Serial No. 62/ 403,774, filed 4 October 2016. The Department of the Air Force may grant the prospective license unless a timely objection is received that sufficiently shows the grant of the license would be inconsistent with the Bayh-Dole Act or implementing regulations. A competing application for a patent license agreement, completed in compliance with 37 CFR 404.8 and received by the Air Force within the period for timely objections, will be treated as an objection and may be considered as an alternative to the proposed license. Anh Trinh, Air Force Federal Register Liaison Officer. [FR Doc. 2017–04512 Filed 3–7–17; 8:45 am] BILLING CODE 5001–10–P E:\FR\FM\08MRN1.SGM 08MRN1

Agencies

[Federal Register Volume 82, Number 44 (Wednesday, March 8, 2017)]
[Notices]
[Pages 12944-12946]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-04538]


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COMMODITY FUTURES TRADING COMMISSION


Agency Information Collection Activities: Notice of Intent To 
Renew Collection 3038-0103, Ownership and Control Reports, Forms 102/
102S, 40/40S, and 71 (Trader and Account Identification Reports)

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice.

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

SUMMARY: The Commodity Futures Trading Commission (``CFTC'' or 
``Commission'') is announcing an opportunity for public comment on the 
proposed renewal of the collection of certain information by the 
agency. Under the Paperwork Reduction Act (``PRA''), Federal agencies 
are required to publish notice in the Federal Register concerning each 
proposed collection of information and to allow 60 days for public 
comment. This notice solicits comments in connection with information 
collection requirements under certain rules and related forms (the 
``final rules'') that the Commission adopted to enhance its 
identification of futures and swap market participants.

DATES: Comments must be submitted on or before May 8, 2017.

ADDRESSES: You may submit comments, identified by OMB Control No. 3038-
0103, by any of the following methods:
     The Agency's Web site, at http://comments.cftc.gov/. 
Follow the instructions for submitting comments through the Web site.
     Mail: Christopher Kirkpatrick, Secretary of the 
Commission, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street NW., Washington, DC 20581.
     Hand Delivery/Courier: Same as Mail above.
     Federal eRulemaking Portal: http://www.regulations.gov/. 
Follow the instructions for submitting comments through the Portal.
    Please submit your comments using only one method.

FOR FURTHER INFORMATION CONTACT: Joseph Otchin, Special Counsel, 
Division of Market Oversight, at 202-418-5623 or jotchin@cftc.gov, and 
refer to OMB Control No 3038-0103.

SUPPLEMENTARY INFORMATION: Under the PRA, Federal agencies must obtain 
approval from the Office of Management and Budget (OMB) for each 
collection of information they conduct or sponsor. ``Collection of 
Information'' is defined in 44 U.S.C. 3502(3) and 5 CFR 1320.3 and 
includes agency requests or requirements that members of the public 
submit reports, keep records, or provide information to a third party. 
Section 3506(c)(2)(A) of the PRA, 44 U.S.C. 3506(c)(2)(A), requires 
Federal agencies to provide a 60-day notice in the Federal Register 
concerning each proposed collection of information before submitting 
the collection to OMB for approval. To comply with this requirement, 
the CFTC is publishing notice of the proposed collection of information 
listed below.
    Title: Ownership and Control Reports, Forms 102/102S, 40/40S, and 
71 (Trader and Account Identification Reports) (OMB Control No. 3038-
0103). This is a request for extension of a currently approved 
information collection.
    Abstract: The final rules \1\ created new information collection 
requirements via Sec. Sec.  17.01, 18.04, 18.05, and 20.5. 
Specifically, Sec.  17.01 provides for the filing of Form 102A, Form 
102B and Form 71, as follows:
---------------------------------------------------------------------------

    \1\ See Commission, Final Rule: Ownership and Control Reports, 
Forms 102/102S, 40/40S, and 71, 78 FR 69178 (November 18, 2013). 
Terms used herein and not otherwise defined herein shall have the 
meaning assigned to such terms in the final rules or in the 
Commission's regulations.
---------------------------------------------------------------------------

     Pursuant to Sec.  17.01(a), futures commission merchants 
(``FCMs''), clearing members, and foreign brokers shall identify new 
special accounts to the Commission on Form 102A;
     pursuant to Sec.  17.01(b), clearing members shall 
identify volume threshold accounts to the Commission on Form 102B; and
     pursuant to Sec.  17.01(c), omnibus volume threshold 
account originators and omnibus reportable sub-account originators 
shall identify reportable sub-accounts to the Commission on Form 71 
when requested via a special call by the Commission or its designee.
    Additional reporting requirements arise from Sec.  18.04, which 
results in the collection of information via Form 40 from and regarding 
traders who own, hold, or control reportable positions; volume 
threshold account controllers; persons who own volume threshold 
accounts; reportable sub-account controllers; and persons who own 
reportable sub-accounts.
    Reporting requirements also arise from Sec.  20.5(a), which 
requires all reporting entities to submit Form 102S for swap 
counterparty or customer consolidated accounts with reportable 
positions. In addition, Sec.  20.5(b) requires every person subject to 
books or records under current Sec.  20.6 to complete a 40S filing 
after a special call upon such person by the Commission.
    In addition to the reporting requirements summarized above, Sec.  
18.05 imposes recordkeeping requirements upon: (1) Traders who own, 
hold, or control a reportable futures or options on futures position; 
(2) volume threshold account controllers; (3) persons who own volume 
threshold accounts; (4) reportable sub-account controllers; and (5) 
persons who own reportable sub-accounts.
    With respect to the collection of information, the CFTC invites 
comments on:
     Whether the proposed collection of information is 
necessary for the proper performance of the functions of the 
Commission, including whether the information will have a practical 
use;
     The accuracy of the Commission's estimate of the burden of 
the proposed collection of information, including the validity of the 
methodology and assumptions used;

[[Page 12945]]

     Ways to enhance the quality, usefulness, and clarity of 
the information to be collected; and
     Ways to minimize the burden of collection of information 
on those who are to respond, including through the use of appropriate 
automated electronic, mechanical, or other technological collection 
techniques or other forms of information technology; e.g., permitting 
electronic submission of responses.
    All comments must be submitted in English, or if not, accompanied 
by an English translation. Comments will be posted as received to 
http://www.cftc.gov. You should submit only information that you wish 
to make available publicly. If you wish the Commission to consider 
information that you believe is exempt from disclosure under the 
Freedom of Information Act, a petition for confidential treatment of 
the exempt information may be submitted according to the procedures 
established in Sec.  145.9 of the Commission's regulations.\2\
---------------------------------------------------------------------------

    \2\ 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 your 
submission from http://www.cftc.gov that it may deem to be 
inappropriate for publication, such as obscene language. All 
submissions that have been redacted or removed that contain comments on 
the merits of the Information Collection Request will be retained in 
the public comment file and will be considered as required under the 
Administrative Procedure Act and other applicable laws, and may be 
accessible under the Freedom of Information Act.
    Burden Statement: The Commission estimates the burden of this 
collection of information as follows:

                                                                        Form 102A
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                        Number of        Annualized
                                                                        reporting        burden per      Total annual    Estimated wage  Annual industry
                         Type of respondent                            parties per    reporting party  industry burden        rate            costs
                                                                           year           (hours)          (hours)
--------------------------------------------------------------------------------------------------------------------------------------------------------
FCMs, clearing members, and foreign brokers........................             260              106           27,560           $70.07       $1,931,129
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                                        Form 102B
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                        Number of        Annualized
                                                                        reporting        burden per      Total annual    Estimated wage  Annual industry
                         Type of respondent                            parties per    reporting party  industry burden        rate            costs
                                                                           year           (hours)          (hours)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Clearing members...................................................             175              106           18,550           $70.07       $1,299,799
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                                         Form 71
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                        Number of      Annual burden     Total annual
                         Type of respondent                           responses per     per response   industry burden   Estimated wage  Annual industry
                                                                           year           (hours)          (hours)            rate            costs
--------------------------------------------------------------------------------------------------------------------------------------------------------
Originators of omnibus volume threshold accounts or omnibus                     762                8            6,096           $70.07         $427,147
 reportable sub-accounts...........................................
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                                         Form 40
                                                                [Arising from Form 102A]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                         Annualized
                                                                        Number of        burden per      Total annual    Estimated wage  Annual industry
                         Type of respondent                           responses per       response     industry burden        rate            costs
                                                                           year           (hours)          (hours)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Special account owners and controllers.............................           5,250                3           15,750           $70.07       $1,103,603
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                                         Form 40
                                                          [Arising from Form 102B and Form 71]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                         Annualized
                                                                        Number of        burden per      Total annual    Estimated wage  Annual industry
                         Type of respondent                           responses per       response     industry burden        rate            costs
                                                                           year           (hours)          (hours)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Volume threshold account controllers and owners, reportable sub-             18,920                3           56,760           $70.07       $3,977,173
 account controllers and owners....................................
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 12946]]


                                                                        Form 102S
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                        Number of        Annualized
                                                                        reporting        burden per      Total annual    Estimated wage  Annual industry
                         Type of respondent                            parties per    reporting party  industry burden        rate            costs
                                                                           year           (hours)          (hours)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Clearing members and swap dealers..................................              39              106            4,134           $70.07         $289,669
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                                        Form 40S
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                         Annualized
                                                                        Number of        burden per      Total annual    Estimated wage  Annual industry
                         Type of respondent                           responses per       response     industry burden        rate            costs
                                                                           year           (hours)          (hours)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Persons subject to books and records requirements under Sec.   20.6           2,508                3            7,524           $70.07         $527,207
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                           Sec.   18.05--Recordkeeping Burden
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                        Number of      Annual burden     Total annual
                         Type of respondent                           responses per     per response   industry burden   Estimated wage  Annual industry
                                                                           year           (hours)          (hours)            rate            costs
--------------------------------------------------------------------------------------------------------------------------------------------------------
Volume threshold account controllers and owners, reportable sub-                 53                5              265           $70.07          $18,569
 account controllers and owners, and traders who own, hold, or
 control reportable futures or option positions....................
--------------------------------------------------------------------------------------------------------------------------------------------------------

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

    Dated: March 3, 2017.
Robert N. Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2017-04538 Filed 3-7-17; 8:45 am]
 BILLING CODE 6351-01-P