Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0049: Procedural Requirements for Requests for Interpretative, No-Action, and Exemptive Letters, 15514-15516 [2017-06182]
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15514
Federal Register / Vol. 82, No. 59 / Wednesday, March 29, 2017 / Notices
salmon mortality. More information is
available at the CBP Task Force Web
page: https://www.westcoast.fisheries.
noaa.gov/columbia_river/
Matters To Be Considered
This meeting time and agenda are
subject to change. Updated information
will be available on the CBP Task Force
Web page above.
The meeting is convened to conduct
the work of the CBP Task Force.
Meeting topics include a discussion of
the final Operating Principles,
discussion of a shared vision, and work
plan for goal setting, including a
proposed analytical framework. The
meeting is open to the public as
observers, and a public comment period
will be provided on April 19, 2017, from
11:30–12:00 p.m. to accept public input,
limited to the time available.
Special Accommodations
The meeting is physically accessible
to people with disabilities. Requests for
sign language interpretation or other
auxiliary aids should be directed to
Katherine Cheney; 503–231–6730 by
April 4, 2017.
Dated: March 23, 2017.
Jennifer Lukens,
Director for the Office of Policy, National
Marine Fisheries Service.
[FR Doc. 2017–06132 Filed 3–28–17; 8:45 am]
BILLING CODE 3510–22–P
DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric
Administration
RIN 0648–XF271–X
Endangered Species; File No. 21043
National Marine Fisheries
Service (NMFS), National Oceanic and
Atmospheric Administration (NOAA),
Commerce.
ACTION: Notice; receipt of application.
AGENCY:
Notice is hereby given that
the Florida Fish and Wildlife
Conservation Commission, Fish and
Wildlife Research Institute, 585
Prineville Street, Port Charlotte, FL
33954 [Responsible Party, Gregg
Poulakis, Ph.D.], has applied in due
form for a permit to take Pristis
pectinata for purposes of scientific
research.
mstockstill on DSK3G9T082PROD with NOTICES
SUMMARY:
Written, telefaxed, or email
comments must be received on or before
April 28, 2017.
ADDRESSES: The application and related
documents are available for review by
selecting ‘‘Records Open for Public
DATES:
VerDate Sep<11>2014
18:22 Mar 28, 2017
Jkt 241001
Comment’’ from the ‘‘Features’’ box on
the Applications and Permits for
Protected Species (APPS) home page,
https://apps.nmfs.noaa.gov, and then
selecting File No. 21043 from the list of
available applications.
These documents are also available
upon written request or by appointment
in the Permits and Conservation
Division, Office of Protected Resources,
NMFS, 1315 East-West Highway, Room
13705, Silver Spring, MD 20910; phone
(301) 427–8401; fax (301) 713–0376.
Written comments on this application
should be submitted to the Chief,
Permits and Conservation Division, at
the address listed above. Comments may
also be submitted by facsimile to (301)
713–0376, or by email to
NMFS.Pr1Comments@noaa.gov. Please
include the File No. in the subject line
of the email comment.
Those individuals requesting a public
hearing should submit a written request
to the Chief, Permits and Conservation
Division at the address listed above. The
request should set forth the specific
reasons why a hearing on this
application would be appropriate.
FOR FURTHER INFORMATION CONTACT:
Malcolm Mohead or Erin Markin, (301)
427–8401.
SUPPLEMENTARY INFORMATION: The
subject permit is requested under the
authority of the Endangered Species Act
of 1973, as amended (ESA; 16 U.S.C.
1531 et seq.) and the regulations
governing the taking, importing, and
exporting of endangered and threatened
species (50 CFR parts 222–226).
The objective of the permitted activity
is to conduct research and monitoring of
endangered smalltooth sawfish to
develop conservation and protective
measures ensuring the species’ recovery.
Other listed species potentially
encountered and incidentally collected
include green (Chelonia mydas),
hawksbill (Eretmochelys imbricata),
Kemp’s ridley (Lepidocheyls kempii),
leatherback (Dermochelys coriacea), and
loggerhead (Caretta caretta) sea turtles.
Researchers are requesting to capture
smalltooth sawfish in Florida waters,
and then measure, weigh, tag, genetic
tissue sample, draw blood, and
photograph animals prior to release. The
applicant also requests to have access to
salvaged animals and parts taken at
other parts within the species range.
Dated: March 23, 2017.
Julia Harrison,
Chief, Permits and Conservation Division,
Office of Protected Resources, National
Marine Fisheries Service.
[FR Doc. 2017–06139 Filed 3–28–17; 8:45 am]
BILLING CODE 3510–22–P
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COMMODITY FUTURES TRADING
COMMISSION
Agency Information Collection
Activities: Notice of Intent To Extend
Collection 3038–0049: Procedural
Requirements for Requests for
Interpretative, No-Action, and
Exemptive Letters
Commodity Futures Trading
Commission.
ACTION: Notice.
AGENCY:
The Commodity Futures
Trading Commission (CFTC) is
announcing an opportunity for public
comment on the proposed extension of
a 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,
including each proposed extension of an
existing collection of information, and
to allow 60 days for public comment.
This notice solicits comments on
requirements related to requests for, and
the issuance of, exemptive, no-action,
and interpretative letters.
DATES: Comments must be submitted on
or before May 30, 2017.
ADDRESSES: You may submit comments,
identified by ‘‘OMB Control Number
3038–0049,’’ by any of the following
methods:
• The Agency’s Web site, at https://
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: https://
www.regulations.gov/. Follow the
instructions for submitting comments
through the Portal.
Please submit your comments using
only one method. All comments must be
submitted in English, or if not,
accompanied by an English translation.
Comments will be posted as received to
https://www.cftc.gov.
FOR FURTHER INFORMATION CONTACT:
Jocelyn Partridge, Special Counsel,
Division of Clearing and Risk, (202)
418–5926, email: jpartridge@cftc.gov;
Meghan Tente, Special Counsel,
Division of Clearing and Risk, (202)
418–5785, email: mtente@cftc.gov; Jacob
Chachkin, Special Counsel, Division of
Swaps and Intermediary Oversight,
(202) 418–5496, email:
SUMMARY:
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mstockstill on DSK3G9T082PROD with NOTICES
Federal Register / Vol. 82, No. 59 / Wednesday, March 29, 2017 / Notices
jchachkin@cftc.gov; or Dana Brown,
Paralegal Specialist, Division of Market
Oversight, (202) 418–5093, email:
dbrown@cftc.gov; or (202) 418–5093.
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. An agency
may not conduct or sponsor, and a
person is not required to respond to, a
collection of information unless it
displays a valid OMB control number.
Section 3506(c)(2)(A) of the PRA, 44
U.S.C. 3506(c)(2)(A), requires a Federal
agency to provide a 60-day notice in the
Federal Register concerning each
proposed collection of information,
including each proposed extension of an
existing collection of information before
submitting the collection to OMB for
approval. To comply with these
requirements, the CFTC is publishing
notice of the proposed collection of
information listed below.
Title: Procedural Requirements for
Requests for Interpretative, No-Action
and Exemptive Letters (OMB Control
No. 3038–0049). This is a request for an
extension of a currently approved
information collection.
Abstract: This collection covers the
information requirements for voluntary
requests for, and the issuance of,
interpretative, no-action, and exemptive
letters submitted to Commission staff
pursuant to the provisions of section
140.99 of the Commission’s
regulations,1 and related requests for
confidential treatment pursuant to
section 140.98(b) 2 of the Commission’s
regulations. It includes reporting and
recordkeeping requirements.
The collection requirements described
herein are voluntary. They apply to
parties that choose to request a benefit
from Commission staff in the form of the
regulatory action described in section
140.99. Such benefits may include, for
example, relief from some or all of the
burdens associated with other
collections of information, relief from
regulatory obligations that do not
constitute collections of information
collections, interpretations, or
extensions of time for compliance with
certain Commission regulations. It is
likely that persons who would opt to
1 17 CFR. 140.99. An archive containing CFTC
staff letters may be found at https://www.cftc.gov/
LawRegulation/CFTCStaffLetters/index.htm.
2 17 CFR 140.98(b).
VerDate Sep<11>2014
18:22 Mar 28, 2017
Jkt 241001
request action under section 140.99 will
have determined that the information
collection burdens that they would
assume by doing so will be outweighed
substantially by the relief that they seek
to receive.
The information collection associated
with section 140.99 of the Commission’s
regulations is necessary, and would be
used, to assist Commission staff in
understanding the type of relief that is
being requested and the basis for the
request. It is also necessary, and would
be used, to provide staff with a
sufficient basis for determining whether:
(1) Granting the relief would be
necessary or appropriate under the facts
and circumstances presented by the
requestor; (2) the relief provided should
be conditional and/or time-limited; and
(3) granting the relief would be
consistent with staff responses to
requests that have been presented under
similar facts and circumstances. In some
cases, the requested relief might be
granted upon the condition that those
who seek the benefits of that relief fulfill
certain notice and other reporting
obligations that serve as substituted
compliance for regulatory requirements
that would otherwise be imposed. In
other cases, the conditions might
include reporting or recordkeeping
requirements that are necessary to
ensure that the relief granted by
Commission staff is appropriate. Once
again, it is likely that those who would
comply with these conditions will have
determined that the burden of
complying with the conditions is
outweighed by the relief that they seek
to receive. The information collection
associated with section 140.98(b) of the
Commission’s regulations is necessary
to provide a mechanism whereby
persons requesting no-action,
interpretative and exemption letters
may seek temporary confidential
treatment of their request and the
Commission staff response thereto and
the grounds upon which such
confidential treatment is sought.
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; and
• Ways to enhance the quality,
usefulness, and clarity of the
information to be collected; and
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15515
• Ways to minimize the burden of the
collection of information on those who
are to respond, including through the
use of appropriate automated electronic,
mechanical or other technological
collection techniques or other forms of
information technology; e.g., permitting
electronic submission of responses.
You should submit only information
that you wish to make available
publicly. If you wish the Commission to
consider information that you believe is
exempt from disclosure under the
Freedom of Information Act, a petition
for confidential treatment of the exempt
information may be submitted according
to the procedures established in section
145.9 of the Commission’s regulations.3
The Commission reserves the right, but
shall have no obligation to, review, prescreen, filter, redact, refuse or remove
any or all of your submission from
https://www.cftc.gov that it may deem
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 Requirement
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: In order to
establish estimates of the annual
information collection burdens
associated with the exemptive, noaction and interpretative letters that
may be issued by Commission staff
during the three year renewal period,
Commission staff reviewed the letters of
this type that were issued by
Commission staff during 2016. This
timeframe was chosen because it is
believed that such recent experience is
indicative of both the quantity of
requests that Commission staff expects
to receive and the quantity of letters that
Commission staff expects to issue on an
annual basis during the renewal period
and the information collection burdens
that may be associated with them. In
some cases, the relief granted in 2016 is
unlikely to be requested again as it has
been superseded by a Commission
rulemaking. The projected burden
estimates for the renewal period were
not reduced accordingly in order to
account for the possibility that new
issues may arise. It is also possible that
certain relief granted in 2016 may be
superseded by a future Commission
rulemaking. As future rulemakings and
their effective dates are speculative, the
estimates for the renewal period have
3 17
CFR 145.9.
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15516
Federal Register / Vol. 82, No. 59 / Wednesday, March 29, 2017 / Notices
not been reduced to account for
potential rulemakings.
The annual respondent burden for
this collection during the renewal
period is estimated to be as follows:
Estimated Number of Respondents:
284.
Estimated Average Annual Burden
Hours per Respondent: 9.5.
Estimated Total Annual Burden
Hours: 2,704.
Frequency of Collection: Occasional.
Type of Respondents: Respondents
include persons registered with the
Commission (such as commodity pool
operators, commodity trading advisors,
derivatives clearing organizations,
designated contract markets, futures
commission merchants, introducing
brokers, swap dealers, and swap
execution facilities), persons seeking an
exemption from registration, persons
whose registration with the Commission
is pending, trade associations and their
members, eligible contract participants,
and other persons seeking relief from
discrete regulatory requirements.
There are no capital costs or operating
and maintenance costs associated with
this collection.
These estimates, as set forth in greater
detail below, include the burden hours
for complying with the information
requirements for exemptive, no-action
and interpretative letters contained in
section 140.99(c) of the Commission’s
regulations; effecting the filing of such
letters pursuant to section 140.99(d);
providing notice to Commission staff of
materially changed facts and
circumstances pursuant to section
140.99(c)(3)(ii); complying with any
conditions that may be contained in a
grant of no-action or exemptive relief;
complying with requirements to make
disclosures to third parties; and
preparing and submitting withdrawals
of requests for exemptive, no-action and
interpretative letters, as provided in
section 140.99(f). The estimates also
Estimated
annual
respondents
Estimated
annual reports
or records per
respondent
include burden hours related to a
request for confidential treatment made
pursuant to section 140.98(b) of the
Commission’s regulations.4
The burden hours associated with
requests for exemptive, no-action and
interpretative letters include both the
drafting and filing of the request itself
as well as performing the underlying
factual or legal analysis generally to
comply with the information collection.
The burden hours associated with
individual requests will vary widely,
depending upon the type and
complexity of relief requested, whether
the request presents novel or complex
issues, the relevant facts and
circumstances, and the number of
requestors or other affected entities. The
Commission provides estimates of the
amount of time that any requestor
spends on any particular request as each
request is unique, based upon the
preceding factors.
Total annual
responses
Estimated
average
number of
hours
per response
Estimated
annual burden
hours
Reporting
§ 140.99 (c)—information requirements for letters ..............
§ 140.99(d)—filing requirements ..........................................
§ 140.99 (c)(3)(ii)—materially changed facts and circumstances ......................................................................
§ 140.99(e)—staff response (conditions imposed) ..............
§ 140.99(f)—withdrawal of requests ....................................
§ 140.98(b)—requests for confidential treatment .................
78
78
1
1
78
78
24.7
1
1,930
78
5
16
5
42
1
1
1
1
5
16
5
42
3
5
1
1
15
80
5
42
Total Reporting .............................................................
224
1
224
9.6
2,150
Recordkeeping
§ 140.99(e)—staff response (conditions imposed) ..............
Disclosures to Third Parties .................................................
54
6
4
56.4
216
338
1
1
216
338
Total ..............................................................................
284
2.7
778
3.5
2,704
(Authority 44 U.S.C. 3501 et seq.)
Dated: March 24, 2017.
Robert N. Sidman,
Deputy Secretary of the Commission.
Department of the Air Force
BILLING CODE 6351–01–P
U.S. Air Force Academy Board
of Visitors, Department of Defense.
AGENCY:
ACTION:
Meeting withdrawal notice.
The Board of Visitors of the
U.S. Air Force Academy Notice of
Meeting is withdrawing the notice, this
meeting published on 23 March 2017
[FR 2017–05625].
SUMMARY:
4 The Commission now includes the collection of
information related to Commission regulation
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16:54 Mar 28, 2017
Jkt 241001
41.3(b), which involves exemption requests from
certain intermediaries, under OMB number 3038–
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The
Department of the Air Force is
withdrawing the meeting notice of the
Board of Visitors that published on the
23rd since this meeting has been
amended.
SUPPLEMENTARY INFORMATION:
Board of Visitors of the U.S. Air Force
Academy Notice of Meeting
[FR Doc. 2017–06182 Filed 3–28–17; 8:45 am]
mstockstill on DSK3G9T082PROD with NOTICES
This withdrawal is effective
March 23, 2017.
DATES:
DEPARTMENT OF DEFENSE
Henry Williams,
Acting Air Force Federal Register Liaison
Officer.
[FR Doc. 2017–06173 Filed 3–28–17; 8:45 am]
BILLING CODE 5001–10–P
0059 and, as such, is no longer including it in this
OMB number.
E:\FR\FM\29MRN1.SGM
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]]>Agencies
[Federal Register Volume 82, Number 59 (Wednesday, March 29, 2017)]
[Notices]
[Pages 15514-15516]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-06182]
=======================================================================
-----------------------------------------------------------------------
COMMODITY FUTURES TRADING COMMISSION
Agency Information Collection Activities: Notice of Intent To
Extend Collection 3038-0049: Procedural Requirements for Requests for
Interpretative, No-Action, and Exemptive Letters
AGENCY: Commodity Futures Trading Commission.
ACTION: Notice.
-----------------------------------------------------------------------
SUMMARY: The Commodity Futures Trading Commission (CFTC) is announcing
an opportunity for public comment on the proposed extension of a
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, including each proposed extension of an existing
collection of information, and to allow 60 days for public comment.
This notice solicits comments on requirements related to requests for,
and the issuance of, exemptive, no-action, and interpretative letters.
DATES: Comments must be submitted on or before May 30, 2017.
ADDRESSES: You may submit comments, identified by ``OMB Control Number
3038-0049,'' by any of the following methods:
The Agency's Web site, at https://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: https://www.regulations.gov/.
Follow the instructions for submitting comments through the Portal.
Please submit your comments using only one method. All comments
must be submitted in English, or if not, accompanied by an English
translation. Comments will be posted as received to https://www.cftc.gov.
FOR FURTHER INFORMATION CONTACT: Jocelyn Partridge, Special Counsel,
Division of Clearing and Risk, (202) 418-5926, email:
jpartridge@cftc.gov; Meghan Tente, Special Counsel, Division of
Clearing and Risk, (202) 418-5785, email: mtente@cftc.gov; Jacob
Chachkin, Special Counsel, Division of Swaps and Intermediary
Oversight, (202) 418-5496, email:
[[Page 15515]]
jchachkin@cftc.gov; or Dana Brown, Paralegal Specialist, Division of
Market Oversight, (202) 418-5093, email: dbrown@cftc.gov; or (202) 418-
5093.
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.
An agency may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless it displays a valid OMB
control number. Section 3506(c)(2)(A) of the PRA, 44 U.S.C.
3506(c)(2)(A), requires a Federal agency to provide a 60-day notice in
the Federal Register concerning each proposed collection of
information, including each proposed extension of an existing
collection of information before submitting the collection to OMB for
approval. To comply with these requirements, the CFTC is publishing
notice of the proposed collection of information listed below.
Title: Procedural Requirements for Requests for Interpretative, No-
Action and Exemptive Letters (OMB Control No. 3038-0049). This is a
request for an extension of a currently approved information
collection.
Abstract: This collection covers the information requirements for
voluntary requests for, and the issuance of, interpretative, no-action,
and exemptive letters submitted to Commission staff pursuant to the
provisions of section 140.99 of the Commission's regulations,\1\ and
related requests for confidential treatment pursuant to section
140.98(b) \2\ of the Commission's regulations. It includes reporting
and recordkeeping requirements.
---------------------------------------------------------------------------
\1\ 17 CFR. 140.99. An archive containing CFTC staff letters may
be found at https://www.cftc.gov/LawRegulation/CFTCStaffLetters/index.htm.
\2\ 17 CFR 140.98(b).
---------------------------------------------------------------------------
The collection requirements described herein are voluntary. They
apply to parties that choose to request a benefit from Commission staff
in the form of the regulatory action described in section 140.99. Such
benefits may include, for example, relief from some or all of the
burdens associated with other collections of information, relief from
regulatory obligations that do not constitute collections of
information collections, interpretations, or extensions of time for
compliance with certain Commission regulations. It is likely that
persons who would opt to request action under section 140.99 will have
determined that the information collection burdens that they would
assume by doing so will be outweighed substantially by the relief that
they seek to receive.
The information collection associated with section 140.99 of the
Commission's regulations is necessary, and would be used, to assist
Commission staff in understanding the type of relief that is being
requested and the basis for the request. It is also necessary, and
would be used, to provide staff with a sufficient basis for determining
whether: (1) Granting the relief would be necessary or appropriate
under the facts and circumstances presented by the requestor; (2) the
relief provided should be conditional and/or time-limited; and (3)
granting the relief would be consistent with staff responses to
requests that have been presented under similar facts and
circumstances. In some cases, the requested relief might be granted
upon the condition that those who seek the benefits of that relief
fulfill certain notice and other reporting obligations that serve as
substituted compliance for regulatory requirements that would otherwise
be imposed. In other cases, the conditions might include reporting or
recordkeeping requirements that are necessary to ensure that the relief
granted by Commission staff is appropriate. Once again, it is likely
that those who would comply with these conditions will have determined
that the burden of complying with the conditions is outweighed by the
relief that they seek to receive. The information collection associated
with section 140.98(b) of the Commission's regulations is necessary to
provide a mechanism whereby persons requesting no-action,
interpretative and exemption letters may seek temporary confidential
treatment of their request and the Commission staff response thereto
and the grounds upon which such confidential treatment is sought.
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; and
Ways to enhance the quality, usefulness, and clarity of
the information to be collected; and
Ways to minimize the burden of the collection of
information on those who are to respond, including through the use of
appropriate automated electronic, mechanical or other technological
collection techniques or other forms of information technology; e.g.,
permitting electronic submission of responses.
You should submit only information that you wish to make available
publicly. If you wish the Commission to consider information that you
believe is exempt from disclosure under the Freedom of Information Act,
a petition for confidential treatment of the exempt information may be
submitted according to the procedures established in section 145.9 of
the Commission's regulations.\3\ The Commission reserves the right, but
shall have no obligation to, review, pre-screen, filter, redact, refuse
or remove any or all of your submission from https://www.cftc.gov that
it may deem 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 Requirement 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.
---------------------------------------------------------------------------
\3\ 17 CFR 145.9.
---------------------------------------------------------------------------
Burden Statement: In order to establish estimates of the annual
information collection burdens associated with the exemptive, no-action
and interpretative letters that may be issued by Commission staff
during the three year renewal period, Commission staff reviewed the
letters of this type that were issued by Commission staff during 2016.
This timeframe was chosen because it is believed that such recent
experience is indicative of both the quantity of requests that
Commission staff expects to receive and the quantity of letters that
Commission staff expects to issue on an annual basis during the renewal
period and the information collection burdens that may be associated
with them. In some cases, the relief granted in 2016 is unlikely to be
requested again as it has been superseded by a Commission rulemaking.
The projected burden estimates for the renewal period were not reduced
accordingly in order to account for the possibility that new issues may
arise. It is also possible that certain relief granted in 2016 may be
superseded by a future Commission rulemaking. As future rulemakings and
their effective dates are speculative, the estimates for the renewal
period have
[[Page 15516]]
not been reduced to account for potential rulemakings.
The annual respondent burden for this collection during the renewal
period is estimated to be as follows:
Estimated Number of Respondents: 284.
Estimated Average Annual Burden Hours per Respondent: 9.5.
Estimated Total Annual Burden Hours: 2,704.
Frequency of Collection: Occasional.
Type of Respondents: Respondents include persons registered with
the Commission (such as commodity pool operators, commodity trading
advisors, derivatives clearing organizations, designated contract
markets, futures commission merchants, introducing brokers, swap
dealers, and swap execution facilities), persons seeking an exemption
from registration, persons whose registration with the Commission is
pending, trade associations and their members, eligible contract
participants, and other persons seeking relief from discrete regulatory
requirements.
There are no capital costs or operating and maintenance costs
associated with this collection.
These estimates, as set forth in greater detail below, include the
burden hours for complying with the information requirements for
exemptive, no-action and interpretative letters contained in section
140.99(c) of the Commission's regulations; effecting the filing of such
letters pursuant to section 140.99(d); providing notice to Commission
staff of materially changed facts and circumstances pursuant to section
140.99(c)(3)(ii); complying with any conditions that may be contained
in a grant of no-action or exemptive relief; complying with
requirements to make disclosures to third parties; and preparing and
submitting withdrawals of requests for exemptive, no-action and
interpretative letters, as provided in section 140.99(f). The estimates
also include burden hours related to a request for confidential
treatment made pursuant to section 140.98(b) of the Commission's
regulations.\4\
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\4\ The Commission now includes the collection of information
related to Commission regulation 41.3(b), which involves exemption
requests from certain intermediaries, under OMB number 3038-0059
and, as such, is no longer including it in this OMB number.
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The burden hours associated with requests for exemptive, no-action
and interpretative letters include both the drafting and filing of the
request itself as well as performing the underlying factual or legal
analysis generally to comply with the information collection. The
burden hours associated with individual requests will vary widely,
depending upon the type and complexity of relief requested, whether the
request presents novel or complex issues, the relevant facts and
circumstances, and the number of requestors or other affected entities.
The Commission provides estimates of the amount of time that any
requestor spends on any particular request as each request is unique,
based upon the preceding factors.
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Estimated
Estimated Estimated average Estimated
annual annual reports Total annual number of annual burden
respondents or records per responses hours per hours
respondent response
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Reporting
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Sec. 140.99 (c)--information 78 1 78 24.7 1,930
requirements for letters.......
Sec. 140.99(d)--filing 78 1 78 1 78
requirements...................
Sec. 140.99 (c)(3)(ii)-- 5 1 5 3 15
materially changed facts and
circumstances..................
Sec. 140.99(e)--staff response 16 1 16 5 80
(conditions imposed)...........
Sec. 140.99(f)--withdrawal of 5 1 5 1 5
requests.......................
Sec. 140.98(b)--requests for 42 1 42 1 42
confidential treatment.........
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Total Reporting............. 224 1 224 9.6 2,150
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Recordkeeping
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Sec. 140.99(e)--staff response 54 4 216 1 216
(conditions imposed)...........
Disclosures to Third Parties.... 6 56.4 338 1 338
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Total....................... 284 2.7 778 3.5 2,704
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(Authority 44 U.S.C. 3501 et seq.)
Dated: March 24, 2017.
Robert N. Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2017-06182 Filed 3-28-17; 8:45 am]
BILLING CODE 6351-01-P
