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]

Download as PDF 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 PO 00000 Frm 00034 Fmt 4703 Sfmt 4703 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: E:\FR\FM\29MRN1.SGM 29MRN1 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 PO 00000 Frm 00035 Fmt 4703 Sfmt 4703 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. E:\FR\FM\29MRN1.SGM 29MRN1 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 VerDate Sep<11>2014 16:54 Mar 28, 2017 Jkt 241001 41.3(b), which involves exemption requests from certain intermediaries, under OMB number 3038– PO 00000 Frm 00036 Fmt 4703 Sfmt 9990 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 29MRN1

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]


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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

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\
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

    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.

----------------------------------------------------------------------------------------------------------------
                                                                                     Estimated
                                     Estimated       Estimated                        average        Estimated
                                      annual      annual reports   Total annual      number of     annual burden
                                    respondents   or records per     responses      hours  per         hours
                                                    respondent                       response
----------------------------------------------------------------------------------------------------------------
                                                    Reporting
----------------------------------------------------------------------------------------------------------------
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.........
                                 -------------------------------------------------------------------------------
    Total Reporting.............             224               1             224             9.6           2,150
----------------------------------------------------------------------------------------------------------------
                                                  Recordkeeping
----------------------------------------------------------------------------------------------------------------
Sec.   140.99(e)--staff response              54               4             216               1             216
 (conditions imposed)...........
Disclosures to Third Parties....               6            56.4             338               1             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.
[FR Doc. 2017-06182 Filed 3-28-17; 8:45 am]
 BILLING CODE 6351-01-P
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