Agency Information Collection Activities Under OMB Review, 15557-15559 [2018-07365]

Download as PDF Federal Register / Vol. 83, No. 70 / Wednesday, April 11, 2018 / Notices amozie on DSK30RV082PROD with NOTICES noise exposure resulting from constructing LNG facilities in Cook Inlet, Alaska from 2019 to 2023. AGDC’s request is for take of five species of marine mammals, by Level B harassment only. Neither AGDC nor NMFS expects injury, serious injury, or mortality to result from this activity. NMFS provided questions and comments to AGDC after receiving the initial application regarding the scope of the project and impact analysis. AGDC submitted a modified request on February 23, 2018 and NMFS deemed the application adequate and complete on March 14, 2018. Description of the Specified Activity AGDC proposes to construct facilities to transport and offload LNG in Cook Inlet, AK, for export. The Project activities include: • Construction of the proposed Marine Terminal in Cook Inlet, including construction of a temporary Material Offloading Facility (MOF) and a permanent Product Loading Facility (PLF). • Construction of the Mainline across Cook Inlet, including the potential construction of a Mainline MOF on the west side of Cook Inlet. Components of proposed construction activities in Cook Inlet that have the potential to expose marine mammals to received acoustic levels that could result in take include: • Vibratory and impact pile driving associated with MOF and PLF construction. • Anchor handling associated with pipelay across the Cook Inlet. For pile driving over the project duration, a total of 130 48-inch (-in) and 201 60-in steel piles would be installed using impact hammers for the PLF construction. A total of 7 24-in and 28 48-in steel piles would be installed using impact hammers and 66 18-in and 35 60-in steel piles using vibratory hammers for the MOF construction. In addition, approximately 6,700 feet and 670 feet of sheet pile would be installed using a vibratory and impact hammer, respectively, for the MOF construction. For anchor handling, a total of 5.75 and 13.25 hours of activities are assessed for mooring/pipe trenching and pipelaying in Seasons 3 and 4, respectively. The LNG facility construction activities are anticipated to begin in late 2019 and take approximately four years to complete. However, the rule will cover a five-year period to encompass additional time should delays occur. A suite of proposed mitigation and monitoring measures for marine mammals that could potentially be VerDate Sep<11>2014 17:17 Apr 10, 2018 Jkt 244001 taken during in-water construction activities includes: (1) Establishing and monitoring Level A and Level B zones with protected species observers (PSOs), (2) establishing a 100-m shutdown zone and implementing shutdown measures when an animal is detected to approaching the shutdown zone, and (3) limiting pile driving activities to daylight hours only. Information Solicited Interested persons may submit information, suggestions, and comments concerning the AGDC’s request (see ADDRESSES). NMFS will consider all information, suggestions, and comments related to the AGDC’s request and NMFS’ potential development and implementation of regulations governing the incidental taking of marine mammals by the AGDC’s LNG facility construction in Cook Inlet. Dated: April 6, 2018. Donna S. Wieting, Director, Office of Protected Resources, National Marine Fisheries Service. [FR Doc. 2018–07465 Filed 4–10–18; 8:45 am] BILLING CODE 3510–22–P DEPARTMENT OF COMMERCE National Oceanic and Atmospheric Administration RIN 0648–XG156 Mid-Atlantic Fishery Management Council (MAFMC); Public Meetings National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce. ACTION: Notice of a public meeting. AGENCY: The Mid-Atlantic Fishery Management Council (Council) will hold a public workshop to provide a forum for fishermen, managers, and scientists from the United States and European Union to interact and discuss possible solutions to the complex problems associated with the smallmesh pelagic fisheries in their respective regions. DATES: The meeting will be held Tuesday, May 1, 2018 through Thursday, May 3, 2018. For agenda details, see SUPPLEMENTARY INFORMATION. SUMMARY: The meeting will be held at: the Beauport Hotel Gloucester, 55 Commercial Street, Gloucester, MA 01930, telephone: (844) 282–0008. Council address: Mid-Atlantic Fishery Management Council, 800 N State St., ADDRESSES: PO 00000 Frm 00008 Fmt 4703 Sfmt 4703 15557 Suite 201, Dover, DE 19901; telephone: (302) 674–2331. FOR FURTHER INFORMATION CONTACT: Christopher M. Moore, Ph.D. Executive Director, Mid-Atlantic Fishery Management Council; telephone: (302) 526–5255. SUPPLEMENTARY INFORMATION: The workshop will involve a combination of presentations, group discussions, and field trips designed to give participants first-hand knowledge of local fishery operations and issues. A detailed agenda and additional information are available on the Council’s website at https://www.mafmc.org/workshop/us-eupelagics-workshop. Special Accommodations These meetings are physically accessible to people with disabilities. Requests for sign language interpretation or other auxiliary aid should be directed to M. Jan Saunders, (302) 526–5251, at least 5 days prior to the meeting date. Dated: April 6, 2018. Tracey L. Thompson, Acting Deputy Director, Office of Sustainable Fisheries, National Marine Fisheries Service. [FR Doc. 2018–07473 Filed 4–10–18; 8:45 am] BILLING CODE 3510–22–P COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities Under OMB Review Commodity Futures Trading Commission. ACTION: Notice. AGENCY: In compliance with the Paperwork Reduction Act (PRA), this notice announces that the Information Collection Request (‘‘ICR’’) abstracted below has been forwarded to the Office of Management and Budget (‘‘OMB’’) for review and comment. The ICR describes the nature of the information collections and its expected costs and burden. DATES: Comments must be submitted on or before May 11, 2018. ADDRESSES: Comments regarding the burden estimate or any other aspect of the information collections, including suggestions for reducing the burden, may be submitted directly to the Office of Information and Regulatory Affairs (‘‘OIA’’) in OMB within 30 days of this notice’s publication by either of the following methods. Please identify the comments by ‘‘OMB Control Nos. 3038– 0052 or 3038–0074.’’ • By email addressed to: OIRAsubmissions@omb.eop.gov or SUMMARY: E:\FR\FM\11APN1.SGM 11APN1 amozie on DSK30RV082PROD with NOTICES 15558 Federal Register / Vol. 83, No. 70 / Wednesday, April 11, 2018 / Notices • By mail addressed to: The Office of Information and Regulatory Affairs, Office of Management and Budget, Attention Desk Officer for the Commodity Futures Trading Commission, 725 17th Street NW, Washington, DC 20503. A copy of all comments submitted to OIRA should be sent to the Commodity Futures Trading Commission (‘‘CFTC’’ or ‘‘Commission’’) by either of the following methods. The copies should refer to ‘‘OMB Control Nos. 3038–0052 or 3038–0074.’’ • By mail addressed to: Christopher Kirkpatrick, Secretary of the Commission, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581; • By Hand Delivery/Courier to the same address; or • Through the Commission’s website at https://comments.cftc.gov. Please follow the instructions for submitting comments through the website. Please submit your comments using only one method. A copy of the supporting statements for the collection of information discussed herein may be obtained by visiting https://RegInfo.gov. 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 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: David Steinberg, Associate Director, Division of Market Oversight, Commodity Futures Trading Commission, 202–418–5102 or dsteinberg@cftc.gov, and refer to OMB Control Nos. 3038–0052 or 3038–0074. SUPPLEMENTARY INFORMATION: Title: Core Principles and Other Requirements for Designated Contract Markets (OMB Control No. 3038–0052), and Core Principles and Other Requirements for Swap Execution Facilities (OMB Control No. 3038– 0074). This is a request for an extension of currently approved information collections. Abstract: The regulations governing designated contract markets (‘‘DCMs’’) were adopted pursuant to the requirements of the Commodity Futures Modernization Act of 2000 (‘‘CFMA’’).2 Part 38 of the Commission’s regulations governs the activities of DCMs. The information collected pursuant to part 38 is necessary for the Commission to evaluate whether entities operating as, or applying to become DCMs, comply with the part 38 requirements including 23 core principles. Collection 3038– 0052 was created in response to the part 38 regulatory requirements for DCMs. In June 2012, the Commission implemented core principles and other requirements for DCMs (‘‘DCM Final Rules’’).3 The Commission stated in the DCM Final Rules that 18 DCMs were registered with the Commission.4 However, since publication of the DCM Final Rules, the number of DCMs registered with the Commission has decreased from 18 to 15. Accordingly, the Commission is revising the below burden statement for OMB Control No 3038–0052 to account for the decrease in the number of registered DCMs. Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (‘‘Dodd-Frank Act’’) added new section 5h to the Commodity Exchange Act (‘‘CEA’’) to impose requirements concerning the registration and operation of swap execution facilities (‘‘SEFs’’), which the Commission has incorporated in part 37 of its regulations. These information collections are needed for the Commission to ensure that SEFs comply with these requirements. Among other requirements, part 37 of the Commission’s regulations imposes SEF registration requirements for a trading platform or system, obligates SEFs to provide transaction confirmations to swap counterparties, and requires SEFs to comply with 15 core principles. Collection 3038–0074 was created in response to the part 37 regulatory requirements for SEFs. 27 U.S.C. 1 et seq. FR 36612 (June 19, 2012). 4 Id. at 36663. 3 77 1 17 CFR 145.9. VerDate Sep<11>2014 17:17 Apr 10, 2018 Jkt 244001 PO 00000 Frm 00009 Fmt 4703 Sfmt 4703 In September 2016, the Commission published a 30-Day Notice of Intent to Renew Collection 3038–0074 (30-Day Renewal Notice) and stated that 23 SEFs were registered with the Commission.5 However, since publication of the 30day Renewal Notice, the Commission has granted permanent registration to two additional SEFs, for a total of 25 registered SEFs. Therefore, the Commission is revising the below burden statement for OMB Control No. 3038–0074 to account for the increase in the number of registered SEFs. In January 2018, the Commission adopted regulation 9.11(b)(3)(ii) requiring a DCM or SEF (collectively, ‘‘exchange’’) to include two additional elements in the disciplinary or access denial notice action provided to the National Futures Association.6 First, an exchange must include the type of product (as applicable) involved in the adverse action.7 Requiring an exchange to provide this information in the disciplinary or access denial notice will provide the Commission, market participants, the public, and other exchanges with greater transparency concerning where market abuses originate and whether the abuses are concentrated among certain product types. Second, an exchange must indicate in its notice of disciplinary or access denial actions whether the violation underlying the notice resulted in financial harm to any customers. This requirement codifies the clarification contained in an advisory previously issued by the Commission (‘‘Part 9 Advisory’’).8 The Commission believes that the inclusion of customer harm is essential because it cannot effectively perform its regulatory and oversight functions without knowledge of those instances in which brokers violate their fiduciary duty to customers by taking advantage of customer orders and engaging in fraudulent activity. The collections of information are mandatory. 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. The OMB control numbers for the CFTC’s regulations were published on December 30, 1981. See 46 FR 63035 (Dec. 30, 1981). 5 81 FR 65630 (Sept. 23, 2016). FR 1538 (Jan. 12, 2018). 7 For example, a product trading on a DCM might be specified as a July 2016 Eurodollar future; while a product trading on a SEF may be a CDX North American High Yield Series 26 5 year. 8 The Part 9 Advisory permitted an exchange to file disciplinary or access denial notices with the Commission or the National Futures Association. 64 FR 39915 (July 23, 1999). 6 83 E:\FR\FM\11APN1.SGM 11APN1 Federal Register / Vol. 83, No. 70 / Wednesday, April 11, 2018 / Notices The Federal Register notice with a 60day comment period soliciting comments on this collection of information was published on January 12, 2018 (83 FR 1609). The Commission did not receive any comments addressing the 60-day Notice. Burden Statement: The Commission believes that the additional burden for an exchange to add the two additional elements in the contents of the disciplinary or access denial notice is de minimis.9 Accordingly, the Commission is maintaining its current estimate of the burden for both collections as result of these reporting requirements. However, the Commission is amending its estimates for the collections to account for the change in the number of DCMs and SEFs currently registered with the Commission. The current respondent burden for these collections are estimated to be as follows: • OMB Control No. 3038–0052 (Core Principles and Other Requirements for Designated Contract Markets) Number of Respondents: 15. Estimated Annual Burden Hours per Respondent: 490.5. Estimated Total Annual Burden Hours on Respondents: 7,357.5. Frequency of Collection: As applicable. • OMB Control No. 3038–0074 (Core Principles and Other Requirements for Swap Execution Facilities) Number of Respondents: 25. Estimated Annual Burden Hours per Respondent: 1,000. Estimated Total Annual Burden Hours on Respondents: 25,000.10 Frequency of Collection: As applicable. The regulations require no new startup or operations and maintenance costs. DEPARTMENT OF DEFENSE (Authority: 44 U.S.C. 3501 et seq.) DEPARTMENT OF DEFENSE Dated: April 5, 2018. Robert N. Sidman, Deputy Secretary of the Commission. amozie on DSK30RV082PROD with NOTICES 9 The Commission stated in the Notice of Proposed Rulemaking that the burden associated with Commission regulation 9.11(b)(3)(ii) requiring an exchange to specify the product involved in the disciplinary or access denial action would be de minimis. 82 FR 7745 (Jan. 23, 2017). The Commission did not receive any comments regarding this determination. The Commission estimates that it will take an exchange just a few seconds to add the product involved in the adverse action and whether the violation underlying the notice resulted in financial harm to any customers. 10 The Commission notes that collection 3038– 0074 includes an additional 1,200 burden hours for SEF registration applicants that have not been affected by this amendment. Therefore, the total burden for this collection is 26,200 hours. Jkt 244001 Department of the Navy, DoD. Notice. AGENCY: ACTION: The Department of the Navy (DoN) announces the availability of the inventions listed below, assigned to the United States Government, as represented by the Secretary of the Navy, for domestic and foreign licensing by the Department of the Navy. ADDRESSES: Requests for copies of the patents cited should be directed to Naval Surface Warfare Center, Crane Div, Code OOL, Bldg 2, 300 Highway 361, Crane, IN 47522–5001. FOR FURTHER INFORMATION CONTACT: Mr. Christopher Monsey, Naval Surface Warfare Center, Crane Div, Code OOL, Bldg 2, 300 Highway 361, Crane, IN 47522–5001, Email Christopher.Monsey@navy.mil. SUPPLEMENTARY INFORMATION: The following patent is available for licensing: Patent No. 9,927,482 (Navy Case No. 200248): ELECTROSTATIC PROTECTION TESTING, MONITORING, AND HUMANMACHINE VISUAL INTERFACE SYSTEM AND METHODS OF USE. SUMMARY: Authority: 35 U.S.C. 207, 37 CFR part 404. Dated: April 5, 2018. E.K. Baldini, Lieutenant Commander, Judge Advocate General’s Corps, U.S. Navy, Federal Register Liaison Officer. [FR Doc. 2018–07436 Filed 4–10–18; 8:45 am] BILLING CODE 3810–FF–P Notice of Availability of GovernmentOwned Inventions; Available for Licensing BILLING CODE 6351–01–P 17:17 Apr 10, 2018 Notice of Availability of GovernmentOwned Inventions; Available for Licensing Department of the Navy [FR Doc. 2018–07365 Filed 4–10–18; 8:45 am] VerDate Sep<11>2014 Department of the Navy Department of the Navy, DoD. Notice. AGENCY: ACTION: The Department of the Navy (DoN) announces the availability of the inventions listed below, assigned to the United States Government, as represented by the Secretary of the Navy, for domestic and foreign licensing by the Department of the Navy. ADDRESSES: Requests for copies of the patent applications cited should be directed to Naval Surface Warfare Center, Crane Div, Code OOL, Bldg 2, SUMMARY: PO 00000 Frm 00010 Fmt 4703 Sfmt 4703 15559 300 Highway 361, Crane, IN 47522– 5001. FOR FURTHER INFORMATION CONTACT: Mr. Christopher Monsey, Naval Surface Warfare Center, Crane Div, Code OOL, Bldg 2, 300 Highway 361, Crane, IN 47522–5001, Email Christopher.Monsey@navy.mil, 812– 854–2777. SUPPLEMENTARY INFORMATION: The following patent application is available for licensing: Patent Application No. 62/ 632,550 (Navy Case No. 200456): HYPER-COMPACT ELECTRIC ALLTERRAIN VEHICLE DRIVETRAIN AND CONVERSION KIT. Authority: 35 U.S.C. 207, 37 CFR part 404. Dated: April 5, 2018. E.K. Baldini, Lieutenant Commander, Judge Advocate General’s Corps, U.S. Navy, Federal Register Liaison Officer. [FR Doc. 2018–07453 Filed 4–10–18; 8:45 am] BILLING CODE 3810–FF–P DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. CP18–10–000] Notice of Schedule for Environmental Review of the Enbridge—Texas Eastern Transmission, L.P. Tx—La Markets Project On October 19, 2017, Enbridge— Texas Eastern Transmission, L.P. (Texas Eastern) filed an application in Docket No. CP18–10–000 requesting a Certificate of Public Convenience and Necessity pursuant to section 7(c) of the Natural Gas Act to construct and operate certain natural gas facilities. The proposed project is known as the TX— LA Markets Project (Project), and would involve modifications to Texas Eastern’s existing Gillis Compressor Station in Beauregard Parish, Louisiana. On October 31, 2017, the Federal Energy Regulatory Commission (Commission or FERC) issued its Notice of Application for the Project. Among other things, that notice alerted agencies issuing federal authorizations of the requirement to complete all necessary reviews and to reach a final decision on a request for a federal authorization within 90 days of the date of issuance of the Commission staff’s Environmental Assessment (EA) for the Project. This instant notice identifies the FERC staff’s planned schedule for the completion of the EA for the Project. Schedule for Environmental Review Issuance of EA May 31, 2018 E:\FR\FM\11APN1.SGM 11APN1

Agencies

[Federal Register Volume 83, Number 70 (Wednesday, April 11, 2018)]
[Notices]
[Pages 15557-15559]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-07365]


=======================================================================
-----------------------------------------------------------------------

COMMODITY FUTURES TRADING COMMISSION


Agency Information Collection Activities Under OMB Review

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice.

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

SUMMARY: In compliance with the Paperwork Reduction Act (PRA), this 
notice announces that the Information Collection Request (``ICR'') 
abstracted below has been forwarded to the Office of Management and 
Budget (``OMB'') for review and comment. The ICR describes the nature 
of the information collections and its expected costs and burden.

DATES: Comments must be submitted on or before May 11, 2018.

ADDRESSES: Comments regarding the burden estimate or any other aspect 
of the information collections, including suggestions for reducing the 
burden, may be submitted directly to the Office of Information and 
Regulatory Affairs (``OIA'') in OMB within 30 days of this notice's 
publication by either of the following methods. Please identify the 
comments by ``OMB Control Nos. 3038-0052 or 3038-0074.''
     By email addressed to: [email protected] or

[[Page 15558]]

     By mail addressed to: The Office of Information and 
Regulatory Affairs, Office of Management and Budget, Attention Desk 
Officer for the Commodity Futures Trading Commission, 725 17th Street 
NW, Washington, DC 20503.
    A copy of all comments submitted to OIRA should be sent to the 
Commodity Futures Trading Commission (``CFTC'' or ``Commission'') by 
either of the following methods. The copies should refer to ``OMB 
Control Nos. 3038-0052 or 3038-0074.''
     By mail addressed to: Christopher Kirkpatrick, Secretary 
of the Commission, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW, Washington, DC 20581;
     By Hand Delivery/Courier to the same address; or
     Through the Commission's website at https://comments.cftc.gov. Please follow the instructions for submitting 
comments through the website.
    Please submit your comments using only one method. A copy of the 
supporting statements for the collection of information discussed 
herein may be obtained by visiting https://RegInfo.gov.
    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 
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: David Steinberg, Associate Director, 
Division of Market Oversight, Commodity Futures Trading Commission, 
202-418-5102 or [email protected], and refer to OMB Control Nos. 
3038-0052 or 3038-0074.

SUPPLEMENTARY INFORMATION: 
    Title: Core Principles and Other Requirements for Designated 
Contract Markets (OMB Control No. 3038-0052), and Core Principles and 
Other Requirements for Swap Execution Facilities (OMB Control No. 3038-
0074). This is a request for an extension of currently approved 
information collections.
    Abstract: The regulations governing designated contract markets 
(``DCMs'') were adopted pursuant to the requirements of the Commodity 
Futures Modernization Act of 2000 (``CFMA'').\2\ Part 38 of the 
Commission's regulations governs the activities of DCMs. The 
information collected pursuant to part 38 is necessary for the 
Commission to evaluate whether entities operating as, or applying to 
become DCMs, comply with the part 38 requirements including 23 core 
principles. Collection 3038-0052 was created in response to the part 38 
regulatory requirements for DCMs.
---------------------------------------------------------------------------

    \2\ 7 U.S.C. 1 et seq.
---------------------------------------------------------------------------

    In June 2012, the Commission implemented core principles and other 
requirements for DCMs (``DCM Final Rules'').\3\ The Commission stated 
in the DCM Final Rules that 18 DCMs were registered with the 
Commission.\4\ However, since publication of the DCM Final Rules, the 
number of DCMs registered with the Commission has decreased from 18 to 
15. Accordingly, the Commission is revising the below burden statement 
for OMB Control No 3038-0052 to account for the decrease in the number 
of registered DCMs.
---------------------------------------------------------------------------

    \3\ 77 FR 36612 (June 19, 2012).
    \4\ Id. at 36663.
---------------------------------------------------------------------------

    Title VII of the Dodd-Frank Wall Street Reform and Consumer 
Protection Act (``Dodd-Frank Act'') added new section 5h to the 
Commodity Exchange Act (``CEA'') to impose requirements concerning the 
registration and operation of swap execution facilities (``SEFs''), 
which the Commission has incorporated in part 37 of its regulations. 
These information collections are needed for the Commission to ensure 
that SEFs comply with these requirements. Among other requirements, 
part 37 of the Commission's regulations imposes SEF registration 
requirements for a trading platform or system, obligates SEFs to 
provide transaction confirmations to swap counterparties, and requires 
SEFs to comply with 15 core principles. Collection 3038-0074 was 
created in response to the part 37 regulatory requirements for SEFs.
    In September 2016, the Commission published a 30-Day Notice of 
Intent to Renew Collection 3038-0074 (30-Day Renewal Notice) and stated 
that 23 SEFs were registered with the Commission.\5\ However, since 
publication of the 30-day Renewal Notice, the Commission has granted 
permanent registration to two additional SEFs, for a total of 25 
registered SEFs. Therefore, the Commission is revising the below burden 
statement for OMB Control No. 3038-0074 to account for the increase in 
the number of registered SEFs.
---------------------------------------------------------------------------

    \5\ 81 FR 65630 (Sept. 23, 2016).
---------------------------------------------------------------------------

    In January 2018, the Commission adopted regulation 9.11(b)(3)(ii) 
requiring a DCM or SEF (collectively, ``exchange'') to include two 
additional elements in the disciplinary or access denial notice action 
provided to the National Futures Association.\6\ First, an exchange 
must include the type of product (as applicable) involved in the 
adverse action.\7\ Requiring an exchange to provide this information in 
the disciplinary or access denial notice will provide the Commission, 
market participants, the public, and other exchanges with greater 
transparency concerning where market abuses originate and whether the 
abuses are concentrated among certain product types. Second, an 
exchange must indicate in its notice of disciplinary or access denial 
actions whether the violation underlying the notice resulted in 
financial harm to any customers. This requirement codifies the 
clarification contained in an advisory previously issued by the 
Commission (``Part 9 Advisory'').\8\ The Commission believes that the 
inclusion of customer harm is essential because it cannot effectively 
perform its regulatory and oversight functions without knowledge of 
those instances in which brokers violate their fiduciary duty to 
customers by taking advantage of customer orders and engaging in 
fraudulent activity. The collections of information are mandatory.
---------------------------------------------------------------------------

    \6\ 83 FR 1538 (Jan. 12, 2018).
    \7\ For example, a product trading on a DCM might be specified 
as a July 2016 Eurodollar future; while a product trading on a SEF 
may be a CDX North American High Yield Series 26 5 year.
    \8\ The Part 9 Advisory permitted an exchange to file 
disciplinary or access denial notices with the Commission or the 
National Futures Association. 64 FR 39915 (July 23, 1999).
---------------------------------------------------------------------------

    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. The OMB control numbers for the 
CFTC's regulations were published on December 30, 1981. See 46 FR 63035 
(Dec. 30, 1981).

[[Page 15559]]

The Federal Register notice with a 60-day comment period soliciting 
comments on this collection of information was published on January 12, 
2018 (83 FR 1609). The Commission did not receive any comments 
addressing the 60-day Notice.
    Burden Statement: The Commission believes that the additional 
burden for an exchange to add the two additional elements in the 
contents of the disciplinary or access denial notice is de minimis.\9\ 
Accordingly, the Commission is maintaining its current estimate of the 
burden for both collections as result of these reporting requirements. 
However, the Commission is amending its estimates for the collections 
to account for the change in the number of DCMs and SEFs currently 
registered with the Commission. The current respondent burden for these 
collections are estimated to be as follows:
---------------------------------------------------------------------------

    \9\ The Commission stated in the Notice of Proposed Rulemaking 
that the burden associated with Commission regulation 9.11(b)(3)(ii) 
requiring an exchange to specify the product involved in the 
disciplinary or access denial action would be de minimis. 82 FR 7745 
(Jan. 23, 2017). The Commission did not receive any comments 
regarding this determination. The Commission estimates that it will 
take an exchange just a few seconds to add the product involved in 
the adverse action and whether the violation underlying the notice 
resulted in financial harm to any customers.

 OMB Control No. 3038-0052 (Core Principles and Other 
---------------------------------------------------------------------------
Requirements for Designated Contract Markets)

    Number of Respondents: 15.
    Estimated Annual Burden Hours per Respondent: 490.5.
    Estimated Total Annual Burden Hours on Respondents: 7,357.5.
    Frequency of Collection: As applicable.

 OMB Control No. 3038-0074 (Core Principles and Other 
Requirements for Swap Execution Facilities)

    Number of Respondents: 25.
    Estimated Annual Burden Hours per Respondent: 1,000.
    Estimated Total Annual Burden Hours on Respondents: 25,000.\10\
---------------------------------------------------------------------------

    \10\ The Commission notes that collection 3038-0074 includes an 
additional 1,200 burden hours for SEF registration applicants that 
have not been affected by this amendment. Therefore, the total 
burden for this collection is 26,200 hours.
---------------------------------------------------------------------------

    Frequency of Collection: As applicable.
    The regulations require no new startup or operations and 
maintenance costs.

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

    Dated: April 5, 2018.
Robert N. Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2018-07365 Filed 4-10-18; 8:45 am]
 BILLING CODE 6351-01-P
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