Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0082, Whistleblower Provision, 56222-56223 [2017-25704]

Download as PDF ethrower on DSK3G9T082PROD with NOTICES 56222 Federal Register / Vol. 82, No. 227 / Tuesday, November 28, 2017 / Notices • Regulation 5.12(b) requires registered RFEDs to file a Form 1–FR– FCM on a monthly and annual basis. • Regulation 5.12(g) states that, in the event that an RFED cannot file its Form 1–FR–FCM for any period within the time specified in Regulation 5.12(b), the RFED may file an application for an extension of time with its self-regulatory organization. • Regulation 5.13(a) requires RFEDs and FCMs to provide monthly account statements to their customers. • Regulation 5.13(b) requires RFEDs and FCMs to provide confirmation statements to their customers within one business day after the execution of any retail forex or forex option transaction. • Regulation 5.14 requires RFEDs and FCMs to maintain current ledgers of each transaction affecting its asset, liability, income, expense and capital accounts. • Regulation 5.18(g) requires each RFED, FCM, CPO, CTA, and IB subject to Part 5 to maintain a record of all communications received that give rise to possible violations of the Act, rules, regulations or orders thereunder related to their retail forex business. • Regulation 5.18(i) requires each RFED and FCM to prepare and maintain on a quarterly basis a calculation of nondiscretionary retail forex customer accounts open for any period of time during the quarter that were profitable, and the percentage of such accounts that were not profitable. • Regulation 5.18(j) requires the CCO of each RFED and FCM to certify annually that the firm has in place processes to establish, maintain, review, modify and test policies and procedures reasonably designed to achieve compliance with the Act, rules, regulations and orders thereunder. • Regulation 5.19 requires each RFED, FCM, CPO, CTA, and IB subject to Part 5 to submit to the Commission copies of any dispositive or partially dispositive decision for which a notice of appeal has been filed in any material legal proceeding (1) to which the firm is a party to or to which its property or assets is subject with respect to retail forex transactions, or (2) instituted against any person who is a principal of the firm arising from conduct in such person’s capacity as a principal of that firm. • Regulation 5.20 requires RFEDs, FCMs and IBs to submit documentation requested pursuant to certain types of special calls by the Commission. • Regulation 5.23 requires RFEDs, FCMs and IBs to notify the Commission regarding bulk transfers and bulk liquidations of customer accounts. VerDate Sep<11>2014 19:51 Nov 27, 2017 Jkt 244001 The rules establish reporting and recordkeeping requirements that are necessary to implement the provisions of the Food, Conservation, and Energy Act of 2008 1 regarding off-exchange transactions in foreign currency with members of the public. The rules are intended to promote customer protection by providing safeguards against irresponsible or fraudulent business practices.2 An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. On September 18, 2017, the Commission published in the Federal Register notice of the proposed extension of this information collection and provided 60 days for public comment on the proposed extension, 82 FR 43527. The Commission received no relevant comments. Burden Statement: The Commission is revising its estimate of the burden for this collection to reflect the current number of affected registrants and revised burden estimates. Accordingly, the respondent burden for this collection is estimated to be as follows: • Number of Registrants: 169. • Estimated Average Burden Hours per Registrant: 777. • Estimated Aggregate Burden Hours: 131,259. • Frequency of Recordkeeping: As applicable. (Authority: 44 U.S.C. 3501 et seq.) Dated: November 22, 2017. Robert N. Sidman, Deputy Secretary of the Commission. [FR Doc. 2017–25698 Filed 11–27–17; 8:45 am] BILLING CODE 6351–01–P COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Notice of Intent To Renew Collection 3038–0082, Whistleblower Provision 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 a proposed collection of certain information by the agency. Under the SUMMARY: 1 Public Law 110–246, 122 Stat. 1651, 2189–220 (2008). 2 See Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries, 75 FR 55410, 55416 (Sept. 10, 2010). PO 00000 Frm 00015 Fmt 4703 Sfmt 4703 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. In August 2011, the Commission adopted a final rule, as required by Wall Street Reform and Consumer Protection Act (‘‘Dodd-Frank Act’’), requiring the submission of whistleblower information to the Commission on the Forms TCR and WB–APP. This notice solicits comments on the proposed Information Collection Request (‘‘ICR’’) titled: Renewal for Whistleblower Provision; OMB Control Number 3038–0082. DATES: Comments must be submitted on or before January 29, 2018. ADDRESSES: You may submit comments, identified by OMB Control No. 3038– 0082 by any of the following methods: • The Agency’s Web site, via its Comments Online process: https:// comments.cftc.gov. Follow the instructions for submitting comments through the Web site. • Mail: 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/search/index.jsp. Follow the instructions for submitting comments. 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. 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.1 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 1 17 CFR 145.9. E:\FR\FM\28NON1.SGM 28NON1 ethrower on DSK3G9T082PROD with NOTICES Federal Register / Vol. 82, No. 227 / Tuesday, November 28, 2017 / Notices the merits of the ICR 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. FOR FURTHER INFORMATION CONTACT: Christopher Ehrman, Director, Whistleblower Office, Commodity Futures Trading Commission, (202) 418–7650; email: cehrman@cftc.gov. 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(c) 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, including each proposed extension of an existing 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. With respect to the following 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. Title: The Whistleblower Provision of Section 23 of the Commodity Exchange Act, OMB Control Number 3038–0082. This is a request for extension of a currently approved information collection. Abstract: 17 CFR 165.3(a) requires the submission of information to the Commission on a Form TCR. The Form TCR, ‘‘Tip, Complaint, or Referral,’’ and VerDate Sep<11>2014 19:51 Nov 27, 2017 Jkt 244001 the instructions thereto, are designed to capture basic identifying information about a complainant and elicit sufficient information to determine whether the conduct alleged suggests a violation of the Commodity Exchange Act. 17 CFR 165.7(b)(1) requires the submission of information to the Commission on a Form WB–APP. The Form WB–APP, ‘‘Application for Award for Original Information Provided Pursuant to Section 23 of the Commodity Exchange Act,’’ and the instructions thereto, are designed to elicit sufficient information to determine whether and to what extent a claimant qualifies for a whistleblower award. Burden Statement: The respondent burden for this collection is estimated to be 0.5 hours per response. • Respondents/affected entities: Individuals. • Estimated number of respondents: 600 per year. • Estimated total annual burden on respondents: 300 hours. • Frequency of collection: Once. (Authority: 44 U.S.C. 3501 et seq.) Dated: November 17, 2017. Robert N. Sidman, Deputy Secretary of the Commission. [FR Doc. 2017–25704 Filed 11–27–17; 8:45 am] BILLING CODE 6351–01–P BUREAU OF CONSUMER FINANCIAL PROTECTION [Docket No. CFPB–2017–0035] Agency Information Collection Activities: Submission for OMB Review; Comment Request Bureau of Consumer Financial Protection. ACTION: Notice and request for comment. AGENCY: In accordance with the Paperwork Reduction Act of 1995 (PRA), the Bureau of Consumer Financial Protection (Bureau) is proposing to renew with change the Office of Management and Budget (OMB) approval for an existing information collection titled, ‘‘Consumer Response Intake Form’’. DATES: Written comments are encouraged and must be received on or before December 28, 2017 to be assured of consideration. ADDRESSES: You may submit comments, identified by the title of the information collection, OMB Control Number (see below), and docket number (see above), by any of the following methods: • Electronic: https:// www.regulations.gov. Follow the instructions for submitting comments. SUMMARY: PO 00000 Frm 00016 Fmt 4703 Sfmt 4703 56223 • OMB: Office of Management and Budget, New Executive Office Building, Room 10235, Washington, DC 20503 or fax to (202) 395–5806. Mailed or faxed comments to OMB should be to the attention of the OMB Desk Officer for the Bureau of Consumer Financial Protection. Please note that comments submitted after the comment period will not be accepted. In general, all comments received will become public records, including any personal information provided. Sensitive personal information, such as account numbers or Social Security numbers, should not be included. FOR FURTHER INFORMATION CONTACT: Documentation prepared in support of this information collection request is available at www.reginfo.gov (this link becomes active on the day following publication of this notice). Select ‘‘Information Collection Review,’’ under ‘‘Currently under review’’, use the dropdown menu ‘‘Select Agency’’ and select ‘‘Consumer Financial Protection Bureau’’ (recent submissions to OMB will be at the top of the list). The same documentation is also available at https://www.regulations.gov. Requests for additional information should be directed to the Consumer Financial Protection Bureau, (Attention: PRA Office), 1700 G Street NW., Washington, DC 20552, (202) 435–9575, or email: CFPB_PRA@cfpb.gov. Please do not submit comments to this email box. SUPPLEMENTARY INFORMATION: Title of Collection: Consumer Response Intake Form. OMB Control Number: 3170–0011. Type of Review: Extension with change of a currently approved collection. Affected Public: Individuals or households. Estimated Number of Respondents: 3,000,000. Estimated Total Annual Burden Hours: 387,500. Abstract: The Intake Form is designed to aid consumers in the submission of complaints, inquiries, and feedback and to help the Bureau fulfill its statutory requirements.1 Consumers (also referred to as ‘‘respondents’’) will be able to complete and submit information through the Intake Form electronically on the Bureau ’s Web site. Alternatively, respondents may request that the Bureau mail a paper copy of the Intake Form, and then mail or fax it back to the 1 See Dodd-Frank Wall Street Reform and Consumer Protection Act, Public Law 111–203, Title X, sections 1013(b)(3), 1021(c)(2), and 1034, codified at 12 U.S.C. 5493(b)(3), 5511(c)(2), and 5534. E:\FR\FM\28NON1.SGM 28NON1

Agencies

[Federal Register Volume 82, Number 227 (Tuesday, November 28, 2017)]
[Notices]
[Pages 56222-56223]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-25704]


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COMMODITY FUTURES TRADING COMMISSION


Agency Information Collection Activities: Notice of Intent To 
Renew Collection 3038-0082, Whistleblower Provision

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 a proposed 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. In August 2011, the Commission adopted a final rule, as 
required by Wall Street Reform and Consumer Protection Act (``Dodd-
Frank Act''), requiring the submission of whistleblower information to 
the Commission on the Forms TCR and WB-APP. This notice solicits 
comments on the proposed Information Collection Request (``ICR'') 
titled: Renewal for Whistleblower Provision; OMB Control Number 3038-
0082.

DATES: Comments must be submitted on or before January 29, 2018.

ADDRESSES: You may submit comments, identified by OMB Control No. 3038-
0082 by any of the following methods:
     The Agency's Web site, via its Comments Online process: 
https://comments.cftc.gov. Follow the instructions for submitting 
comments through the Web site.
     Mail: 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/search/index.jsp. Follow the instructions for submitting comments.
    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. 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.\1\
---------------------------------------------------------------------------

    \1\ 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

[[Page 56223]]

the merits of the ICR 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.

FOR FURTHER INFORMATION CONTACT: Christopher Ehrman, Director, 
Whistleblower Office, Commodity Futures Trading Commission, (202) 418-
7650; email: cehrman@cftc.gov.

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(c) 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, including each 
proposed extension of an existing 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.
    With respect to the following 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.
    Title: The Whistleblower Provision of Section 23 of the Commodity 
Exchange Act, OMB Control Number 3038-0082. This is a request for 
extension of a currently approved information collection.
    Abstract: 17 CFR 165.3(a) requires the submission of information to 
the Commission on a Form TCR. The Form TCR, ``Tip, Complaint, or 
Referral,'' and the instructions thereto, are designed to capture basic 
identifying information about a complainant and elicit sufficient 
information to determine whether the conduct alleged suggests a 
violation of the Commodity Exchange Act. 17 CFR 165.7(b)(1) requires 
the submission of information to the Commission on a Form WB-APP. The 
Form WB-APP, ``Application for Award for Original Information Provided 
Pursuant to Section 23 of the Commodity Exchange Act,'' and the 
instructions thereto, are designed to elicit sufficient information to 
determine whether and to what extent a claimant qualifies for a 
whistleblower award.
    Burden Statement: The respondent burden for this collection is 
estimated to be 0.5 hours per response.
     Respondents/affected entities: Individuals.
     Estimated number of respondents: 600 per year.
     Estimated total annual burden on respondents: 300 hours.
     Frequency of collection: Once.

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


    Dated: November 17, 2017.
Robert N. Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2017-25704 Filed 11-27-17; 8:45 am]
 BILLING CODE 6351-01-P
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