Agency Information Collection Activities: Extension of Information Collections Under the Dodd-Frank Act, 24688-24690 [2017-11105]

Download as PDF 24688 Federal Register / Vol. 82, No. 102 / Tuesday, May 30, 2017 / Notices determined that formal consultation under section 7 of the ESA is not required for this action. National Environmental Policy Act In compliance with NOAA policy, the National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321 et seq.), and the Council on Environmental Quality Regulations (40 CFR parts 1500– 1508), NMFS determined the issuance of the IHA qualifies to be categorically excluded from further NEPA review. This action is consistent with categories of activities identified in CE B4 of the Companion Manual for NOAA Administrative Order 216–6A, which do not individually or cumulatively have the potential for significant impacts on the quality of the human environment and we have not identified any extraordinary circumstances that would preclude this categorical exclusion. Authorization NMFS has issued an IHA to the NPS at Glacier Bay NP for the harassment of small numbers of harbor seals incidental to conducting monitoring and research studies on glaucous-winged gulls within Glacier Bay NP, Alaska provided the previously mentioned mitigation, monitoring, and reporting requirements are incorporated. Dated: May 23, 2017. Donna S. Wieting, Director, Office of Protected Resources, National Marine Fisheries Service. [FR Doc. 2017–11036 Filed 5–26–17; 8:45 am] BILLING CODE 3510–22–P COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Extension of Information Collections Under the Dodd-Frank Act Commodity Futures Trading Commission. ACTION: Notice. AGENCY: The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is announcing an opportunity for public comment on the extension of two information collections (ICs), one concerning the filing of an annual report provided for in the Derivatives Clearing Organization General Provisions and Core Principles regulations and the other concerning the filing of a Subpart C Election Form and other reporting and recordkeeping requirements provided for in subpart C, part 39 of the Commission Regulations. Under the Paperwork Reduction Act (‘‘PRA’’), Federal agencies are required to publish sradovich on DSK3GMQ082PROD with NOTICES SUMMARY: VerDate Sep<11>2014 19:59 May 26, 2017 Jkt 241001 notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection, and to allow 60 days for public comment. DATES: Comments must be submitted on or before July 31, 2017. ADDRESSES: You may submit comments, identified by OMB Control No. 3038– 0081 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. FOR FURTHER INFORMATION CONTACT: Tracey Wingate, Special Counsel, Division of Clearing and Risk, Commodity Futures Trading Commission, (202) 418–5318; email: twingate@cftc.gov. SUPPLEMENTARY INFORMATION: Under the PRA, 44 U.S.C. 3501 et seq., 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. This notice solicits comments on two ICs contained in OMB Control No. 3038–0081: (A) The filing of an annual report provided for in Derivatives Clearing Organization General Provisions and Core Principles 1 (part 39 of the Commission Regulations); and, (B) filing of the Subpart C Election Form 1 OMB Control No. 3038–0081 is being retitled to more accurately reflect the information collections covered. PO 00000 Frm 00030 Fmt 4703 Sfmt 4703 provided for in subpart C, part 39 of the Commission Regulations for DCOs that elect to be held to the same standards as systemically important DCOs (‘‘SIDCOs’’) regulatory requirements (‘‘Subpart C DCOs’’). These additional standards are mandatory for SIDCOs and optional for Subpart C DCOs. An agency may not conduct or sponsor, and a person is not required to respond to, an information collection unless it displays a valid OMB control number. An explanation of the ICs and the current burden estimates are provided for below: Title: Derivatives Clearing Organizations, General Regulations and International Standards; OMB Control No. 3038–0081. This is a request for extension of a currently approved OMB Control No. 3038–0081. Abstract: (A) Annual report provided for in Derivatives Clearing Organization General Provisions and Core Principles. Section 725(c) of the Dodd-Frank Act amended Section 5b(c)(2) of the CEA to allow the Commission to establish regulatory standards for compliance with the DCO core principles. Accordingly, the Commission adopted a final rule to set specific standards for compliance with DCO Core Principles.2 The DCO Final Rule requires the appointment of a CCO, the filing of an annual report and adherence to certain recordkeeping requirements.3 It also allows the Commission to collect information at other times as necessary. The information collected in the annual report pursuant to those regulations is necessary for the Commission to evaluate whether DCOs are complying with Commission regulations. (B) Subpart C Election Form and other reporting and recordkeeping requirements provided for in subpart C, part 39 of the Commission Regulations. In the Derivatives Clearing Organizations and International Standards final rule (SIDCO-Subpart C DCO Final Rule),4 the Commission adopted amendments to its regulations 2 See Derivatives Clearing Organization General Provisions and Core Principles, 76 FR 69334 (November 8, 2011) (DCO Final Rule). 3 These DCO recordkeeping requirements and associated costs are captured in separate proposed rulemakings under separate OMB Control Nos.; specifically, see Risk Management Requirements for Derivatives Clearing Organizations; 76 FR 3698 (Jan. 20, 2011) (OMB Control No. 3038–0076); Information Management Requirements for Derivatives Clearing Organizations, 75 FR 78185 (Dec. 15, 2010) (OMB Control No. 3038–0069); and Financial Resources requirements for Derivatives Clearing Organizations, 75 FR 63113 (Oct. 14, 2010) (OMB Control No. 3038–0066). 4 See Derivatives Clearing Organizations and International Standards, 78 FR 72476 (December 2, 2013) (SIDCO-Subpart C DCO Final Rule). E:\FR\FM\30MYN1.SGM 30MYN1 24689 Federal Register / Vol. 82, No. 102 / Tuesday, May 30, 2017 / Notices to establish additional standards for compliance with the DCO core principles set forth in Section 5b(c)(2) of the CEA for SIDCOs and Subpart C DCOs which are consistent with certain international standards. Specifically, the additional requirements address any remaining gaps between the Commission’s existing regulations and the Principles for Financial Market Infrastructures (‘‘PFMI’’) published by the Committee on Payments and Market Infrastructures and the Board of the International Organization of Securities Commissions. The SIDCO-Subpart C DCO Final Rule also established the process whereby DCO and DCO applicants, respectively, may elect to become Subpart C DCOs subject to the provisions of Subpart C. The election involves filing the Subpart C Election Form contained in appendix B to part 39 of the Commission’s regulations, which involves completing certifications, providing exhibits, and drafting and publishing responses to the PFMI Disclosure Framework and PFMI Quantitative Information Disclosure, as applicable. Additionally, the SIDCOSubpart C DCO Final Rule provides for Commission requests for supplemental information from those requesting Subpart C DCO status; requires amendments to the Subpart C Election Form in the event that a DCO or DCO Applicant, respectively, discovers a material omission or error in, or if there is a material change in, the information provided in the Subpart C Election Form; to submit a notice of withdrawal to the Commission in the event the DCO or DCO applicant determines not to seek Subpart C DCO status prior to such status becoming effective; and procedures by which a Subpart C DCO may rescind its Subpart C DCO status after it has been permitted to take effect. Further, each of these requirements implies recordkeeping that would be produced by a DCO to the Commission on an occasional basis to demonstrate compliance with the rules. The information that would be collected under in subpart C, part 39 of the Commission Regulations is necessary for the Commission to determine whether a DCO meets the Subpart C DCO standards and is likely to be able to maintain compliance with such standards; to evaluate whether SIDCOs and Subpart C DCOs are complying with Commission regulations; and to perform risk analyses with respect to SIDCOs and Subpart C DCOs. 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; • 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 https:// 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.5 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 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 total annual time burden for all respondents is estimated to be 18,472 hours. See Appendix A for an individual breakdown for burden for annual reports provided for in Derivatives Clearing Organization General Provisions and Core Principles. See Appendix B for an individual breakdown for burden for Subpart C Election Form and other reporting and recordkeeping requirements provided for in subpart C, part 39 of the Commission Regulations. Authority: 44 U.S.C. 3501 et seq. Dated: May 19, 2017. Robert N. Sidman, Deputy Secretary of the Commission. Appendix A—Derivatives Clearing Organization General Provisions and Core Principles OMB Collection 3038– 0081 ANNUAL REPORTING REQUIREMENTS FOR DERIVATIVES CLEARING ORGANIZATIONS 12 ..................................................................................................................... sradovich on DSK3GMQ082PROD with NOTICES Estimated number of respondents per year Reports annually by each respondent 1 Total annual responses Estimated average number of hours per response Estimated total number of hours of annual burden in fiscal year (maximum: 12 × 80) 12 40–80 480–960 Appendix B—Subpart C Election Form and Other Reporting and Recordkeeping Requirements Provided for in Subpart C, Part 39 of the Commission Regulations OMB Collection 3038–0081 5 17 CFR 145.9. VerDate Sep<11>2014 19:59 May 26, 2017 Jkt 241001 PO 00000 Frm 00031 Fmt 4703 Sfmt 4703 E:\FR\FM\30MYN1.SGM 30MYN1 24690 Federal Register / Vol. 82, No. 102 / Tuesday, May 30, 2017 / Notices SIDCO/SUBPART C DCO REGULATIONS—REPORTING COLLECTION Estimated number of respondents per year Reports annually by each Total annual responses Estimated average number of hours per response Estimated total number of hours of annual burden in fiscal year Certifications—Subpart C Election Form ............................. Exhibits A thru G—Subpart C Election Form ...................... Disclosure Framework Responses ...................................... Quantitative Information Disclosures ................................... Supplemental Information .................................................... Amendments to Subpart C Election Form ........................... Withdrawal Notices .............................................................. Rescission Notices ............................................................... Written Governance Arrangements ..................................... Governance Disclosures ...................................................... Financial and Liquidity Resource Documentation ............... Stress Test Results .............................................................. Disclosure Framework Requirements (SIDCOs Only) ........ Disclosure Framework Requirements (Both) ....................... Quantitative Information Disclosures (SIDCOs Only) .......... Quantitative Information Disclosures (Both) ........................ Transaction, Segregation, Portability Disclosures ............... Efficiency and Effectiveness Review ................................... Recovery and Wind-Down Plan ........................................... 5 5 5 5 5 5 1 1 7 7 7 7 2 7 2 7 7 7 7 1 1 1 1 5 3 1 75 1 6 1 16 1 1 1 1 2 1 1 5 5 5 5 25 15 1 75 7 42 7 112 2 7 2 7 14 7 7 25 155 200 80 45 8 2 3 200 3 120 14 200 80 80 35 35 3 480 125 775 1,000 400 1,125 120 2 225 1,400 126 840 1,568 400 560 160 245 490 21 3,360 Totals ............................................................................ ........................ 120 350 1,768 12,942 SIDCO/SUBPART C DCO REGULATIONS—RECORDKEEPING COLLECTION Estimated number of recordkeepers per year Records to be kept annually by each Total annual responses Estimated average number of hours per record Estimated total number of hours of annual burden in fiscal year Generally .............................................................................. Liquidity Resource Due Diligence and Testing ................... Financial and Liquidity Resources, Excluding Due Diligence ................................................................................ Generally .............................................................................. 5 7 82 4 410 28 1 10 2,050 280 7 7 4 28 28 196 10 10 280 1,960 Totals ............................................................................ ........................ 118 662 31 4,570 The address of the open meeting is the Gatehouse, 8111 Gatehouse Road, Room 252A/B, Falls Church, Virginia 22042 (registration requested; see guidance in SUPPLEMENTARY INFORMATION, ‘‘Meeting Accessibility’’). ADDRESSES: [FR Doc. 2017–11105 Filed 5–26–17; 8:45 am] BILLING CODE 6351–01–P DEPARTMENT OF DEFENSE Office of the Secretary FOR FURTHER INFORMATION CONTACT: Defense Health Board; Notice of Federal Advisory Committee Meeting Under Secretary of Defense for Personnel and Readiness, Department of Defense. ACTION: Notice of Federal Advisory Committee meeting. sradovich on DSK3GMQ082PROD with NOTICES ADDRESSES: The Department of Defense (DoD) is publishing this notice to announce that the following Federal Advisory Committee meeting of the Defense Health Board will take place. DATES: Open to the public Monday, June 26, 2017 from 9:15 a.m. to 12:30 p.m. and from 1:30 p.m. to 5:00 p.m. SUMMARY: VerDate Sep<11>2014 19:59 May 26, 2017 Jkt 241001 CAPT Juliann Althoff, Medical Corps, U.S. Navy, (703) 681–6653 (Voice), (703) 681–9539 (Facsimile), juliann.m.althoff.mil@mail.mil (Email). Mailing address is 7700 Arlington Boulevard, Suite 5101, Falls Church, Virginia 22042. Web site: https:// www.health.mil/dhb. The most up-todate changes to the meeting agenda can be found on the Web site. This meeting is being held under the provisions of the Federal Advisory Committee Act (FACA) of 1972 (5 U.S.C., Appendix, as amended), the Government in the Sunshine Act of SUPPLEMENTARY INFORMATION: PO 00000 Frm 00032 Fmt 4703 Sfmt 4703 1976 (5 U.S.C. 552b, as amended), and 41 CFR 102–3.140 and 102–3.150. Availability of Materials for the Meeting: Additional information, including the agenda, is available at the DHB Web site, https://www.health.mil/ dhb. Purpose of the Meeting: The Department of Defense is publishing this notice to announce a Federal Advisory Committee meeting of the Defense Health Board (DHB). The DHB provides independent advice and recommendations to maximize the safety and quality of, as well as access to, health care for DoD health care beneficiaries. The purpose of the meeting is to provide progress updates on specific taskings before the DHB. Agenda: Pursuant to 5 U.S.C. 552b and 41 CFR 102–3.140 through 102– 3.165 and subject to availability of space, the meeting is open to the public from 9:15 a.m. to 12:30 p.m. and from 1:30 p.m. to 5:00 p.m. on June 26, 2017. E:\FR\FM\30MYN1.SGM 30MYN1

Agencies

Commodity Futures Trading Commission

[Federal Register Volume 82, Number 102 (Tuesday, May 30, 2017)]
[Notices]
[Pages 24688-24690]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-11105]

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COMMODITY FUTURES TRADING COMMISSION

Agency Information Collection Activities: Extension of
Information Collections Under the Dodd-Frank Act

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice.

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

SUMMARY: The Commodity Futures Trading Commission (``Commission'' or
``CFTC'') is announcing an opportunity for public comment on the
extension of two information collections (ICs), one concerning the
filing of an annual report provided for in the Derivatives Clearing
Organization General Provisions and Core Principles regulations and the
other concerning the filing of a Subpart C Election Form and other
reporting and recordkeeping requirements provided for in subpart C,
part 39 of the Commission Regulations. 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, and to
allow 60 days for public comment.

DATES: Comments must be submitted on or before July 31, 2017.

ADDRESSES: You may submit comments, identified by OMB Control No. 3038-
0081 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.

FOR FURTHER INFORMATION CONTACT: Tracey Wingate, Special Counsel,
Division of Clearing and Risk, Commodity Futures Trading Commission,
(202) 418-5318; email: twingate@cftc.gov.

SUPPLEMENTARY INFORMATION: Under the PRA, 44 U.S.C. 3501 et seq.,
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.
This notice solicits comments on two ICs contained in OMB Control
No. 3038-0081: (A) The filing of an annual report provided for in
Derivatives Clearing Organization General Provisions and Core
Principles \1\ (part 39 of the Commission Regulations); and, (B) filing
of the Subpart C Election Form provided for in subpart C, part 39 of
the Commission Regulations for DCOs that elect to be held to the same
standards as systemically important DCOs (``SIDCOs'') regulatory
requirements (``Subpart C DCOs''). These additional standards are
mandatory for SIDCOs and optional for Subpart C DCOs. An agency may not
conduct or sponsor, and a person is not required to respond to, an
information collection unless it displays a valid OMB control number.
An explanation of the ICs and the current burden estimates are provided
for below:
---------------------------------------------------------------------------

\1\ OMB Control No. 3038-0081 is being retitled to more
accurately reflect the information collections covered.
---------------------------------------------------------------------------

Title: Derivatives Clearing Organizations, General Regulations and
International Standards; OMB Control No. 3038-0081. This is a request
for extension of a currently approved OMB Control No. 3038-0081.
Abstract:
(A) Annual report provided for in Derivatives Clearing Organization
General Provisions and Core Principles. Section 725(c) of the Dodd-
Frank Act amended Section 5b(c)(2) of the CEA to allow the Commission
to establish regulatory standards for compliance with the DCO core
principles. Accordingly, the Commission adopted a final rule to set
specific standards for compliance with DCO Core Principles.\2\ The DCO
Final Rule requires the appointment of a CCO, the filing of an annual
report and adherence to certain recordkeeping requirements.\3\ It also
allows the Commission to collect information at other times as
necessary. The information collected in the annual report pursuant to
those regulations is necessary for the Commission to evaluate whether
DCOs are complying with Commission regulations.
---------------------------------------------------------------------------

\2\ See Derivatives Clearing Organization General Provisions and
Core Principles, 76 FR 69334 (November 8, 2011) (DCO Final Rule).
\3\ These DCO recordkeeping requirements and associated costs
are captured in separate proposed rulemakings under separate OMB
Control Nos.; specifically, see Risk Management Requirements for
Derivatives Clearing Organizations; 76 FR 3698 (Jan. 20, 2011) (OMB
Control No. 3038-0076); Information Management Requirements for
Derivatives Clearing Organizations, 75 FR 78185 (Dec. 15, 2010) (OMB
Control No. 3038-0069); and Financial Resources requirements for
Derivatives Clearing Organizations, 75 FR 63113 (Oct. 14, 2010) (OMB
Control No. 3038-0066).
---------------------------------------------------------------------------

(B) Subpart C Election Form and other reporting and recordkeeping
requirements provided for in subpart C, part 39 of the Commission
Regulations. In the Derivatives Clearing Organizations and
International Standards final rule (SIDCO-Subpart C DCO Final Rule),\4\
the Commission adopted amendments to its regulations

[[Page 24689]]

to establish additional standards for compliance with the DCO core
principles set forth in Section 5b(c)(2) of the CEA for SIDCOs and
Subpart C DCOs which are consistent with certain international
standards. Specifically, the additional requirements address any
remaining gaps between the Commission's existing regulations and the
Principles for Financial Market Infrastructures (``PFMI'') published by
the Committee on Payments and Market Infrastructures and the Board of
the International Organization of Securities Commissions.
---------------------------------------------------------------------------

\4\ See Derivatives Clearing Organizations and International
Standards, 78 FR 72476 (December 2, 2013) (SIDCO-Subpart C DCO Final
Rule).
---------------------------------------------------------------------------

The SIDCO-Subpart C DCO Final Rule also established the process
whereby DCO and DCO applicants, respectively, may elect to become
Subpart C DCOs subject to the provisions of Subpart C. The election
involves filing the Subpart C Election Form contained in appendix B to
part 39 of the Commission's regulations, which involves completing
certifications, providing exhibits, and drafting and publishing
responses to the PFMI Disclosure Framework and PFMI Quantitative
Information Disclosure, as applicable. Additionally, the SIDCO-Subpart
C DCO Final Rule provides for Commission requests for supplemental
information from those requesting Subpart C DCO status; requires
amendments to the Subpart C Election Form in the event that a DCO or
DCO Applicant, respectively, discovers a material omission or error in,
or if there is a material change in, the information provided in the
Subpart C Election Form; to submit a notice of withdrawal to the
Commission in the event the DCO or DCO applicant determines not to seek
Subpart C DCO status prior to such status becoming effective; and
procedures by which a Subpart C DCO may rescind its Subpart C DCO
status after it has been permitted to take effect. Further, each of
these requirements implies recordkeeping that would be produced by a
DCO to the Commission on an occasional basis to demonstrate compliance
with the rules. The information that would be collected under in
subpart C, part 39 of the Commission Regulations is necessary for the
Commission to determine whether a DCO meets the Subpart C DCO standards
and is likely to be able to maintain compliance with such standards; to
evaluate whether SIDCOs and Subpart C DCOs are complying with
Commission regulations; and to perform risk analyses with respect to
SIDCOs and Subpart C DCOs.
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;
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
https://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.\5\
---------------------------------------------------------------------------

\5\ 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 https://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 total annual time burden for all respondents
is estimated to be 18,472 hours.
See Appendix A for an individual breakdown for burden for annual
reports provided for in Derivatives Clearing Organization General
Provisions and Core Principles.
See Appendix B for an individual breakdown for burden for Subpart C
Election Form and other reporting and recordkeeping requirements
provided for in subpart C, part 39 of the Commission Regulations.

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

Dated: May 19, 2017.
Robert N. Sidman,
Deputy Secretary of the Commission.

Appendix A--Derivatives Clearing Organization General Provisions and
Core Principles OMB Collection 3038-0081

Annual Reporting Requirements for Derivatives Clearing Organizations
----------------------------------------------------------------------------------------------------------------
Estimated total
number of hours
Reports Estimated of annual
Estimated number of respondents per year annually by Total annual average number burden in
each responses of hours per fiscal year
respondent response (maximum: 12 x
80)
----------------------------------------------------------------------------------------------------------------
12.......................................... 1 12 40-80 480-960
----------------------------------------------------------------------------------------------------------------

Appendix B--Subpart C Election Form and Other Reporting and
Recordkeeping Requirements Provided for in Subpart C, Part 39 of the
Commission Regulations OMB Collection 3038-0081

[[Page 24690]]

SIDCO/Subpart C DCO Regulations--Reporting Collection
----------------------------------------------------------------------------------------------------------------
Estimated
Estimated Reports Estimated total number
number of annually by Total annual average number of hours of
respondents each responses of hours per annual burden
per year response in fiscal year
----------------------------------------------------------------------------------------------------------------
Certifications--Subpart C 5 1 5 25 125
Election Form..................
Exhibits A thru G--Subpart C 5 1 5 155 775
Election Form..................
Disclosure Framework Responses.. 5 1 5 200 1,000
Quantitative Information 5 1 5 80 400
Disclosures....................
Supplemental Information........ 5 5 25 45 1,125
Amendments to Subpart C Election 5 3 15 8 120
Form...........................
Withdrawal Notices.............. 1 1 1 2 2
Rescission Notices.............. 1 75 75 3 225
Written Governance Arrangements. 7 1 7 200 1,400
Governance Disclosures.......... 7 6 42 3 126
Financial and Liquidity Resource 7 1 7 120 840
Documentation..................
Stress Test Results............. 7 16 112 14 1,568
Disclosure Framework 2 1 2 200 400
Requirements (SIDCOs Only).....
Disclosure Framework 7 1 7 80 560
Requirements (Both)............
Quantitative Information 2 1 2 80 160
Disclosures (SIDCOs Only)......
Quantitative Information 7 1 7 35 245
Disclosures (Both).............
Transaction, Segregation, 7 2 14 35 490
Portability Disclosures........
Efficiency and Effectiveness 7 1 7 3 21
Review.........................
Recovery and Wind-Down Plan..... 7 1 7 480 3,360
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Totals...................... .............. 120 350 1,768 12,942
----------------------------------------------------------------------------------------------------------------

SIDCO/Subpart C DCO Regulations--Recordkeeping Collection
----------------------------------------------------------------------------------------------------------------
Estimated
Estimated Records to be Estimated total number
number of kept annually Total annual average number of hours of
recordkeepers by each responses of hours per annual burden
per year record in fiscal year
----------------------------------------------------------------------------------------------------------------
Generally....................... 5 82 410 1 2,050
Liquidity Resource Due Diligence 7 4 28 10 280
and Testing....................
Financial and Liquidity 7 4 28 10 280
Resources, Excluding Due
Diligence......................
Generally....................... 7 28 196 10 1,960
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Totals...................... .............. 118 662 31 4,570
----------------------------------------------------------------------------------------------------------------

[FR Doc. 2017-11105 Filed 5-26-17; 8:45 am]
BILLING CODE 6351-01-P

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