Agency Information Collection Activities Under OMB Review, 63843-63846 [2018-26848]
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63843
Federal Register / Vol. 83, No. 238 / Wednesday, December 12, 2018 / Notices
IC No.
Information collection instrument
1 ........................
3 ........................
Recordkeeping Maintenance & Disclosure (includes advertisements, disclosure requirements relating to soliciting professional employment, notifications by non-attorney practitioner of inadvertently sent documents, and financial books and
records such as trust accounts, fiduciary accounts, and operating accounts).
Recordkeeping Maintenance Regarding Practitioners Under Suspension
or Exclusion from the USPTO.
Complaint/Violation Reporting ..............
Total ...........
...............................................................
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2 ........................
Estimated Total Annual (Non-hour)
Respondent Cost Burden: $1,244.35.
There are no capital start-up or
maintenance costs as well as no filing
fees associated with this information
collection. Any recordkeeping costs
have been factored into the estimated
hourly cost burden. There are, however,
postage costs associated with this
collection.
Customers may incur postage costs
when submitting the items covered by
this collection to the USPTO by mail.
The USPTO expects that 20 percent of
the Recordkeeping Maintenance &
Disclosure item; 0 percent of the
Recordkeeping Maintenance Regarding
Practitioners Under Suspension or
Exclusion item; and 25 percent of the
Complaint/Violation Reporting item
will be submitted electronically. The
USPTO further expects that of the nonelectronic submissions for this
collection, 1 percent of each item’s total
responses will be submitted by hand
delivery and the rest will be submitted
by mail, for a total of 187 mailed
submissions.
The average first-class USPS postage
cost for a one-pound mailed submission
in a flat-rate envelope and a threepound mailed submission in a small
flat-rate box are $6.55 and $7.05,
respectively. 25 percent of the mailed
Recordkeeping Maintenance &
Disclosure items are expected to require
the more expensive flat-rate box mailing
option, while all other items are
expected to be mailed using the flat-rate
envelope. Using these numbers, the
USPTO estimates that the postage costs
for the mailed submissions in this
collection will total $1,244.35.
Therefore, the USPTO estimates that
the total annual (non-hour) cost burden
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Estimated time
for response
(hours)
Estimated
annual
responses
Estimated
annual
burden hours
Rate
($/hr)
Respondent
cost
(a)
(b)
(a) × (b) = (c)
(d)
(c) × (d) = (e)
1
10,825
10,825
$284
$3,074,300
20
40
800
438
350,400
3
200
600
303
181,800
........................
11,065
12,225
........................
3,606,500
for this collection, in the form of postage
costs, is $1,244.35 per year.
COMMODITY FUTURES TRADING
COMMISSION
IV. Request for Comments
Agency Information Collection
Activities Under OMB Review
Comments are invited on:
(a) Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information shall have practical utility;
(b) the accuracy of the agency’s
estimate of the burden (including hours
and cost) of the proposed collection of
information, including the validity of
the methodology and assumptions used;
(c) ways to enhance the quality,
utility, and clarity of the information to
be collected; and
(d) ways to minimize the burden of
the collection of information on
respondents, including through the use
of automated collection techniques or
other forms of information technology,
e.g., permitting electronic submission of
responses.
Comments submitted in response to
this notice will be summarized or
included in the request for OMB
approval of this information collection;
they will also become a matter of public
record.
Marcie Lovett,
Director, Records and Information
Governance Division, Office of the Chief
Administrative Officer, United States Patent
and Trademark Office.
[FR Doc. 2018–26846 Filed 12–11–18; 8:45 am]
BILLING CODE 3510–16–P
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Commodity Futures Trading
Commission.
ACTION: Notice.
AGENCY:
In compliance with the
Paperwork Reduction Act of 1995
(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 collection and its expected
costs and burdens.
DATES: Comments must be submitted on
or before January 11, 2019.
ADDRESSES: Comments regarding the
burden estimate or any other aspect of
the information collection, including
suggestions for reducing the burden,
may be submitted directly to the Office
of Information and Regulatory Affairs
(‘‘OIRA’’) in OMB within 30 days of
publication of this notice by either of
the methods specified below. Please
identify the comments by ‘‘OMB Control
Numbers 3038–0023 and 3038–0072.’’
• By email addressed to:
OIRAsubmissions@omb.eop.gov; or
• By mail addressed to: 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
(‘‘Commission’’) by any of the following
methods. The copies should refer to
SUMMARY:
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63844
Federal Register / Vol. 83, No. 238 / Wednesday, December 12, 2018 / Notices
‘‘OMB Control Numbers 3038–0023 and
3038–0072.’’
• 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. 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, prescreen, 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.
A copy of the supporting statements
for the collections of information
discussed herein may be obtained by
visiting https://RegInfo.gov.
FOR FURTHER INFORMATION CONTACT:
Christopher W. Cummings, Special
Counsel, (202) 418–5445, ccummings@
cftc.gov, Division of Swap Dealer and
Intermediary Oversight, Commodity
Futures Trading Commission, 1155 21st
Street NW, Washington, DC 20581, and
refer to OMB Control Numbers 3038–
0023 and 3038–0072.
SUPPLEMENTARY INFORMATION:
Titles: Registration Under the
Commodity Exchange Act (OMB control
number 3038–0023); Registration of
Swap Dealers and Major Swap
Participants (OMB control number
3038–0072). This is a request for
extension and revision of these
1 17
CFR 145.9.
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currently approved information
collections.
Abstract: In Adoption of Revised
Registration Form 8–R, 82 FR 19665
(Apr. 28, 2017), the Commission
published a revised version of
Commission Form 8–R. The 8–R is the
application form that individuals must
use to register with the Commission as
an associated person, floor broker, floor
trader, floor trader order enterer, or to be
listed as a principal of a registrant.
Separately, in Agency Information
Collection Activities: Proposed
Collection Revision, Comment Request:
Adoption of Revised Registration Form
8–R and Cancellation of Form 3–R, 82
FR 19663 (Apr. 28, 2017) (‘‘60-Day
Notice’’), the Commission addressed the
PRA implications of the revisions to
Form 8–R. The 60-Day Notice also
addressed the PRA implications
associated with formally cancelling
Commission Form 3–R, a separate
registration form that became obsolete
after its function became available
online and the Commission stopped
requiring its use. As indicated above,
Form 8–R is covered by two OMB
control numbers. OMB control number
3038–0023 applies to Form 8–R in
connection with registering as a floor
broker or floor trader, or registering as
an associated person of, or being listed
as a principal of, a futures commission
merchant, retail foreign exchange
dealer, introducing broker, commodity
trading advisor, commodity pool
operator, floor trader firm or leverage
transaction merchant.2 OMB control
number 3038–0072 applies to Form
8–R in connection with applying to be
listed as a principal of a swap dealer or
major swap participant.3 In connection
with the revision of Form 8–R, the
Commission is amending collections
3038–0023 and 3038–0072 to reflect a
modest increase in the information
collection burdens associated with the
new version of Form 8–R. The
Commission did not amend Form 7–R
or its current burden, which is included
as part of the overall burden estimates
2 OMB control number 3038–0023 also covers
Commission Forms 7–R, 7–W and 8–T in
connection with various registration activities
involving floor brokers, floor traders, futures
commission merchants, retail foreign exchange
dealers, introducing brokers, commodity trading
advisors, commodity pool operators, floor trader
firms or leverage transaction merchants, and their
principals and associated persons, as applicable.
Forms 7–R, 7–W and 8–T were not amended in
connection with the revision of Form 8–R.
3 OMB control number 3038–0072 also covers
Commission Forms 7–R,
7–W and 8–T in connection with various
registration activities involving swap dealers and
major swap participants, and principals thereof.
Forms 7–R, 7–W and 8–T were not amended in
connection with the revision of Form 8–R.
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of collections 3038–0023 and 3038–
0072.
I. Commission Form 8–R
The Commission made three
substantive changes to the Form 8–R
that increased the existing information
collection burden under the PRA: Two
new questions were added to the
‘‘Fingerprint Card Information’’ section;
a new question was added to the section
titled ‘‘Disciplinary Information—
Regulatory Disclosures;’’ and, lastly, one
of the questions in the section titled
‘‘Disciplinary Information—Financial
Disclosures’’ was expanded.
Additionally, the revised Form 8–R also
contains several other substantive
modifications, as well as numerous
grammatical, organizational and
formatting changes.4 These other
changes, whether considered
individually or in aggregate, do not alter
the information collection burdens for
Form 8–R. All of the changes to
Commission Form 8–R that are
summarized above are discussed in
detail in the 60-Day Notice.
The collections of information related
to Form 8–R were previously approved
by OMB in accordance with the PRA
under OMB control numbers 3038–0023
and 3038–0072. In the 60-Day Notice,
the Commission addressed the PRA
implications of the changes to
Commission Form 8–R. Specifically, the
Commission estimated that the three
substantive changes to Form 8–R
discussed above together add 0.1 hours
to the existing information collection
burden associated with Form 8–R,
currently 0.8 hours, resulting in a new
collection burden of 0.9 hours for Form
8–R, subject to the additional change to
the collection burden discussed below.
The information requested in Form 8–R
is necessary to assess the applicant’s
fitness to engage in business as a
derivatives professional, subject to
regulation and oversight by the
Commission. 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. As
noted below, the Commission requested
comments on the changes to Form 8–R.
4 The Commission has recently made a series of
additional non-substantive changes to Form 8–R.
The FBI Privacy Act Statement and the Noncriminal
Justice Applicant’s Privacy Rights Disclosure are
added to Form 8–R. Both sets of disclosures are
related to the preexisting requirement that
applicants have their fingerprints taken in
connection with registration. Also, there are several
grammatical changes and changes to specific
verbiage, none of which are substantive.
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II. Commission Form 3–R
Firms and individuals historically
were required to use Form 3–R to
update or change the registration
information that they previously
supplied on either a Form 7–R or 8–R.
The Commission no longer requires
firms and individuals to use Form 3–R.
Updating registration information is
now accomplished online, directly via
electronic versions of Commission
Forms 7–R or 8–R. In light of the
obsolescence of Form 3–R, the
Commission proposed in the 60-Day
Notice to formally cancel the 3–R for
PRA purposes, and to reassign to Forms
7–R and 8–R the information collection
burdens that had been associated with
Form 3–R.
The collection of information related
to Form 3–R was previously approved
by OMB in accordance with the PRA
under OMB control number 3038–0023.
The information collection burden
associated with Form 3–R is 0.1 hours.
In reassigning that burden to Forms
7–R and 8–R, the Commission believes
that an additional 0.1 hours should be
assigned to the Form 7–R and 8–R.5 The
reassignment of the information
collection burden for the Form 3–R
simply reallocates a portion of the
existing information collection burden
within OMB control number 3038–0023,
but it does not increase or decrease the
total information collection burden
under that control number. Accordingly,
the information collection burden for
Form 8–R under OMB control number
3038–0023 is 1.0 hour, which consists
of the previous estimate of 0.8 hours,
plus an additional 0.1 hours associated
with the amendments to the 8–R, and
plus an additional 0.1 hours associated
with the functionality that previously
could be attributed to Form 3–R.
OMB control number 3038–0072
previously did not account for the
burden hours associated with Form
3–R. The information collection burden
for Form 8–R under OMB control
number 3038–0072 should be modified
to address the fact that the functionality
of former Form 3–R now exists in the
electronic version of Form 8–R. The
Commission believes that the burden
hours for Form 8–R should be increased
by 0.1 hours under OMB control
number 3038–0072 as well.
Accordingly, the information collection
burden for Form 8–R under OMB
control number 3038–0072 is 1.0 hour,
5 The Commission anticipates revising its Form
7–R in the immediate future. The PRA implications
of the amendments to Form 7–R for OMB control
numbers 3038–0023 and 3038–0072, including
accounting for burden hours associated with former
Form 3–R, will be addressed at that time.
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which consists of the previous estimate
of 0.8 hours, plus an additional 0.1
hours associated with the amendments
to the 8–R, and plus an additional 0.1
hours associated with the functionality
that previously could be attributed to
Form 3–R.
III. Comments
In the 60-Day Notice, the Commission
requested comments on, among other
things, its estimates regarding the
modified information collection
burdens associated with the
amendments to Form 8–R and the
cancellation of Form 3–R. The
Commission did not receive any
comments that addressed any of its
estimates or any other aspect of the
information collection.
Burden statement: As explained
above, the Commission believes that the
revisions to Form 8–R increase the
information collection burdens for that
form under OMB control numbers
3038–0023 and 3038–0072.
Additionally, the Commission believes
that reassigning to Form 8–R the
information collection burden formerly
associated with Commission Form 3–R
reallocates the existing information
collection burdens within OMB control
number 3038–0023, and therefore does
not alter the total information collection
burden under that control number.
Lastly, the Commission believes that
updating the information collection
burden under OMB control number
3038–0072 to account for the fact that
the functionality of former Form 3–R is
included in Form 8–R, will cause an
additional modest increase in the
information collection burden under
that control number.
The Commission estimates the burden
of this collection of information under
OMB control number 3038–0023 to be:
Respondents/affected entities: Users
of Form 8–R, specifically (i) associated
persons of futures commission
merchants, retail foreign exchange
dealers, introducing brokers, commodity
trading advisors, commodity pool
operators, and leverage transaction
merchants; (ii) principals of futures
commission merchants, retail foreign
exchange dealers, introducing brokers,
commodity trading advisors, commodity
pool operators, floor trader firms, or
leverage transaction merchants; (iii)
floor brokers; (iv) floor traders; and (v)
floor trader order enterers.
Estimated number of respondents:
78,055.6
6 The revisions to Form 8–R do not change the
estimated number of respondents. However,
regarding the estimated number of respondents for
OMB Control No. 3038–0023, the estimate in the
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63845
Estimated total annual burden on
respondents: 7,735 hours.7
Frequency of collection: Periodically.
There are no capital costs or operating
and maintenance costs associated with
this collection.
The Commission estimates the burden
of this collection of information under
OMB control number 3038–0072 to be:
Respondents/affected entities: Users
of Form 8–R, specifically principals of
swap dealers and of major swap
participants.
Estimated number of respondents:
772.8
Estimated total annual burden on
respondents: 672 hours.9
60-Day Notice incorrectly stated that there were
78,109 respondents, which was the total number of
responses. The correct estimate at that time was
77,857. An additional 198 respondents were added
under ICR Ref. No. 201604–3038–003, related to
changes made by the Alternative to Fingerprinting
Requirement For Foreign Natural Persons final rule.
As a result, the total estimated number of
respondents currently is 78,055.
7 Regarding the estimated total annual burden
hours on respondents, the estimate in 60-Day
Notice was 7,210, which consisted of the previous
burden of 7,030 (from ICR Ref. No. 201412–3038–
002), which was temporarily rounded down to
7,000 for the purposes of calculating the burden
associated with Form 8–R, plus an additional 210
hours attributable to the revisions to Form 8–R. The
30-day notice eliminates the temporary rounding
utilized in the 60-day notice and adds the 30
burden hours back into the total. The 30-day notice
also includes an additional 495 hours that were
added to the collection under ICR Ref. No. 201604–
3038–003, related to changes made by the
Alternative to Fingerprinting Requirement For
Foreign Natural Persons final rule. As a result, the
estimated total annual burden on respondents
currently is 7,735. This estimate includes the
collection burdens associated with Forms 7–R,
7–W, 8–R and 8–T, based on the historical practice
of the Commission of addressing the burden
estimates in aggregate, rather than separately on a
form-by-form basis, for all of the registration forms:
Forms 7–R, 7–W, 8–R, and 8–W.
8 Regarding the estimated number of respondents
for OMB Control No. 3038–0072, the estimate in 60Day Notice was 770. An additional 2 respondents
were added to the collection under ICR Ref. No.
201603–3038–006, related to changes made by the
Alternative to Fingerprinting Requirement For
Foreign Natural Persons final rule. As a result, the
total estimated number of respondents currently is
772. The revisions to Form 8–R do not change the
estimated number of respondents.
9 Regarding the estimated total annual burden on
respondents, the estimate in 60-Day Notice was 648,
which consisted of the previous burden of 629
(from ICR Ref. No. 201512–3038–015), plus an
additional 19 hours attributable to the revisions to
Form 8–R. An additional 5 hours were added under
ICR Ref. No. 201603–3038–006, related to changes
made by the Alternative to Fingerprinting
Requirement For Foreign Natural Persons final rule.
Also, an additional 19 hours are being added to
account for the functionality in the Form 8–R that
previously could have been attributed to the nowobsolete Form 3–R. As a result, the estimated total
annual burden on respondents currently is 672.
This estimate includes the collection burdens
associated with Forms 7–R, 7–W, 8–R and 8–T,
based on the historical practice of the Commission
of addressing the burden estimates in aggregate,
rather than separately on a form-by-form basis, for
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Frequency of collection: Periodically.
There are no capital costs or operating
and maintenance costs associated with
this collection.
(Authority: 44 U.S.C. 3501 et seq.)
Dated: December 6, 2018.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2018–26848 Filed 12–11–18; 8:45 am]
BILLING CODE 6351–01–P
CORPORATION FOR NATIONAL AND
COMMUNITY SERVICE
Agency Information Collection
Activities; Submission to the Office of
Management and Budget for Review
and Approval; Comment Request;
AmeriCorps Member Application;
Proposed Information Collection;
Comment Request
Corporation for National and
Community Service.
ACTION: Notice.
AGENCY:
The Corporation for National
and Community Service (CNCS) has
submitted a public information
collection request (ICR) entitled
AmeriCorps Member Application for
review and approval in accordance with
the Paperwork Reduction Act.
DATES: Comments may be submitted,
identified by the title of the information
collection activity, by January 11, 2019.
ADDRESSES: Comments may be
submitted, identified by the title of the
information collection activity, to the
Office of Information and Regulatory
Affairs, Attn: Ms. Sharon Mar, OMB
Desk Officer for the Corporation for
National and Community Service, by
any of the following two methods
within 30 days from the date of
publication in the Federal Register:
(1) By fax to: 202–395–6974,
Attention: Ms. Sharon Mar, OMB Desk
Officer for the Corporation for National
and Community Service; or
(2) By email to: smar@omb.eop.gov.
FOR FURTHER INFORMATION CONTACT:
Copies of this ICR, with applicable
supporting documentation, may be
obtained by calling the Corporation for
National and Community Service, Erin
Dahlin, at 202–606–6931 or by email to
edahlin@cns.gov. Individuals who use a
telecommunications device for the deaf
(TTY–TDD) may call 1–800–833–3722
between 8:00 a.m. and 8:00 p.m. Eastern
Time, Monday through Friday.
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SUMMARY:
The OMB
is particularly interested in comments
which:
• Evaluate whether the proposed
collection of information is necessary
for the proper performance of the
functions of CNCS, including whether
the information will have practical
utility;
• Evaluate the accuracy of the
agency’s estimate of the burden of the
proposed collection of information,
including the validity of the
methodology and assumptions;
• Propose ways to enhance the
quality, utility, and clarity of the
information to be collected; and
• Propose 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.
SUPPLEMENTARY INFORMATION:
Comments
A 60-day Notice requesting public
comment was published in the Federal
Register on October 2, 2018 at 83 FR
49550. This comment period ended
December 3, 2018. No public comments
were received from this Notice.
Title of Collection: AmeriCorps
Member Application.
OMB Control Number: 3045–0054.
Type of Review: Renewal.
Respondents/Affected Public:
Individuals.
Total Estimated Number of Annual
Responses: 250,000.
Total Estimated Number of Annual
Burden Hours: 281,250.
Abstract: Currently, CNCS is
soliciting comments concerning its
proposed renewal of the AmeriCorps
Member Application Form. Applicants
will respond to the questions included
in this ICR in order to apply to serve as
AmeriCorps members. CNCS also seeks
to continue using the current
application until the revised application
is approved by OMB. The current
application is due to expire on
December 31, 2018.
Dated: November 26, 2018.
Erin Dahlin,
Acting Chief of Program Operations.
[FR Doc. 2018–26905 Filed 12–11–18; 8:45 am]
BILLING CODE 6050–28–P
all of the registration forms: Forms 7–R, 7–W, 8–
R, and 8–W.
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DEPARTMENT OF DEFENSE
Defense Acquisition Regulations
System
[Docket DARS–2018–0057]
RIN 0750–AK36
Defense Federal Acquisition
Regulation Supplement: Contract
Financing (DFARS Case 2019–D001);
Public Meetings
Defense Acquisition
Regulations System, Department of
Defense (DoD).
ACTION: Announcement of public
meetings.
AGENCY:
DoD is hosting several public
meetings to obtain views of experts and
interested parties in Government and
the private sector regarding revising
policies and procedures for contract
financing, performance incentives, and
associated regulations for DoD contracts.
DATES:
Public Meeting Dates: The public
meetings will be held on the following
dates:
• January 10, 2019, from 9:00 a.m. to
12:00 p.m., EST.
• January 22, 2019, from 1:30 p.m. to
4:30 p.m., EST.
• February 19, 2019, from 1:00 p.m.
to 4:00 p.m., EST.
Registration Dates: Registration to
attend the public meetings must be
received no later than close of business
on the following dates:
• January 3, 2019, for the meeting on
January 10th.
• January 15, 2019, for the meeting on
January 22nd.
• February 12, 2019, for the meeting
on February 19th.
Information on how to register for the
public meetings is provided in the
SUPPLEMENTARY INFORMATION section of
this notice.
ADDRESSES: The three public meetings
will be held in the Mark Center
Auditorium, 4800 Mark Center Drive,
Alexandria, VA 22350–3603. The Mark
Center Auditorium is located on level
B–1 of the building.
FOR FURTHER INFORMATION CONTACT: Ms.
Amy Williams, DPC/DARS, at 571–372–
6106.
SUPPLEMENTARY INFORMATION: DoD is
hosting several public meetings to
obtain views of experts and interested
parties in Government and the private
sector regarding revising policies and
procedures for contract financing,
performance incentives, and associated
regulations for DoD contracts.
Registration: To ensure adequate room
accommodations and to facilitate
SUMMARY:
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]]>Agencies
[Federal Register Volume 83, Number 238 (Wednesday, December 12, 2018)]
[Notices]
[Pages 63843-63846]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-26848]
=======================================================================
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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 of 1995 (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 collection and its expected costs and burdens.
DATES: Comments must be submitted on or before January 11, 2019.
ADDRESSES: Comments regarding the burden estimate or any other aspect
of the information collection, including suggestions for reducing the
burden, may be submitted directly to the Office of Information and
Regulatory Affairs (``OIRA'') in OMB within 30 days of publication of
this notice by either of the methods specified below. Please identify
the comments by ``OMB Control Numbers 3038-0023 and 3038-0072.''
By email addressed to: [email protected]; or
By mail addressed to: 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 (``Commission'') by any of the
following methods. The copies should refer to
[[Page 63844]]
``OMB Control Numbers 3038-0023 and 3038-0072.''
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. 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\ 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.
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\1\ 17 CFR 145.9.
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A copy of the supporting statements for the collections of
information discussed herein may be obtained by visiting https://RegInfo.gov.
FOR FURTHER INFORMATION CONTACT: Christopher W. Cummings, Special
Counsel, (202) 418-5445, [email protected], Division of Swap Dealer
and Intermediary Oversight, Commodity Futures Trading Commission, 1155
21st Street NW, Washington, DC 20581, and refer to OMB Control Numbers
3038-0023 and 3038-0072.
SUPPLEMENTARY INFORMATION:
Titles: Registration Under the Commodity Exchange Act (OMB control
number 3038-0023); Registration of Swap Dealers and Major Swap
Participants (OMB control number 3038-0072). This is a request for
extension and revision of these currently approved information
collections.
Abstract: In Adoption of Revised Registration Form 8-R, 82 FR 19665
(Apr. 28, 2017), the Commission published a revised version of
Commission Form 8-R. The 8-R is the application form that individuals
must use to register with the Commission as an associated person, floor
broker, floor trader, floor trader order enterer, or to be listed as a
principal of a registrant. Separately, in Agency Information Collection
Activities: Proposed Collection Revision, Comment Request: Adoption of
Revised Registration Form 8-R and Cancellation of Form 3-R, 82 FR 19663
(Apr. 28, 2017) (``60-Day Notice''), the Commission addressed the PRA
implications of the revisions to Form 8-R. The 60-Day Notice also
addressed the PRA implications associated with formally cancelling
Commission Form 3-R, a separate registration form that became obsolete
after its function became available online and the Commission stopped
requiring its use. As indicated above, Form 8-R is covered by two OMB
control numbers. OMB control number 3038-0023 applies to Form 8-R in
connection with registering as a floor broker or floor trader, or
registering as an associated person of, or being listed as a principal
of, a futures commission merchant, retail foreign exchange dealer,
introducing broker, commodity trading advisor, commodity pool operator,
floor trader firm or leverage transaction merchant.\2\ OMB control
number 3038-0072 applies to Form 8-R in connection with applying to be
listed as a principal of a swap dealer or major swap participant.\3\ In
connection with the revision of Form 8-R, the Commission is amending
collections 3038-0023 and 3038-0072 to reflect a modest increase in the
information collection burdens associated with the new version of Form
8-R. The Commission did not amend Form 7-R or its current burden, which
is included as part of the overall burden estimates of collections
3038-0023 and 3038-0072.
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\2\ OMB control number 3038-0023 also covers Commission Forms 7-
R, 7-W and 8-T in connection with various registration activities
involving floor brokers, floor traders, futures commission
merchants, retail foreign exchange dealers, introducing brokers,
commodity trading advisors, commodity pool operators, floor trader
firms or leverage transaction merchants, and their principals and
associated persons, as applicable. Forms 7-R, 7-W and 8-T were not
amended in connection with the revision of Form 8-R.
\3\ OMB control number 3038-0072 also covers Commission Forms 7-
R, 7-W and 8-T in connection with various registration activities
involving swap dealers and major swap participants, and principals
thereof. Forms 7-R, 7-W and 8-T were not amended in connection with
the revision of Form 8-R.
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I. Commission Form 8-R
The Commission made three substantive changes to the Form 8-R that
increased the existing information collection burden under the PRA: Two
new questions were added to the ``Fingerprint Card Information''
section; a new question was added to the section titled ``Disciplinary
Information--Regulatory Disclosures;'' and, lastly, one of the
questions in the section titled ``Disciplinary Information--Financial
Disclosures'' was expanded. Additionally, the revised Form 8-R also
contains several other substantive modifications, as well as numerous
grammatical, organizational and formatting changes.\4\ These other
changes, whether considered individually or in aggregate, do not alter
the information collection burdens for Form 8-R. All of the changes to
Commission Form 8-R that are summarized above are discussed in detail
in the 60-Day Notice.
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\4\ The Commission has recently made a series of additional non-
substantive changes to Form 8-R. The FBI Privacy Act Statement and
the Noncriminal Justice Applicant's Privacy Rights Disclosure are
added to Form 8-R. Both sets of disclosures are related to the
preexisting requirement that applicants have their fingerprints
taken in connection with registration. Also, there are several
grammatical changes and changes to specific verbiage, none of which
are substantive.
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The collections of information related to Form 8-R were previously
approved by OMB in accordance with the PRA under OMB control numbers
3038-0023 and 3038-0072. In the 60-Day Notice, the Commission addressed
the PRA implications of the changes to Commission Form 8-R.
Specifically, the Commission estimated that the three substantive
changes to Form 8-R discussed above together add 0.1 hours to the
existing information collection burden associated with Form 8-R,
currently 0.8 hours, resulting in a new collection burden of 0.9 hours
for Form 8-R, subject to the additional change to the collection burden
discussed below. The information requested in Form 8-R is necessary to
assess the applicant's fitness to engage in business as a derivatives
professional, subject to regulation and oversight by the Commission. 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. As noted below, the Commission requested
comments on the changes to Form 8-R.
[[Page 63845]]
II. Commission Form 3-R
Firms and individuals historically were required to use Form 3-R to
update or change the registration information that they previously
supplied on either a Form 7-R or 8-R. The Commission no longer requires
firms and individuals to use Form 3-R. Updating registration
information is now accomplished online, directly via electronic
versions of Commission Forms 7-R or 8-R. In light of the obsolescence
of Form 3-R, the Commission proposed in the 60-Day Notice to formally
cancel the 3-R for PRA purposes, and to reassign to Forms 7-R and 8-R
the information collection burdens that had been associated with Form
3-R.
The collection of information related to Form 3-R was previously
approved by OMB in accordance with the PRA under OMB control number
3038-0023. The information collection burden associated with Form 3-R
is 0.1 hours. In reassigning that burden to Forms 7-R and 8-R, the
Commission believes that an additional 0.1 hours should be assigned to
the Form 7-R and 8-R.\5\ The reassignment of the information collection
burden for the Form 3-R simply reallocates a portion of the existing
information collection burden within OMB control number 3038-0023, but
it does not increase or decrease the total information collection
burden under that control number. Accordingly, the information
collection burden for Form 8-R under OMB control number 3038-0023 is
1.0 hour, which consists of the previous estimate of 0.8 hours, plus an
additional 0.1 hours associated with the amendments to the 8-R, and
plus an additional 0.1 hours associated with the functionality that
previously could be attributed to Form 3-R.
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\5\ The Commission anticipates revising its Form 7-R in the
immediate future. The PRA implications of the amendments to Form 7-R
for OMB control numbers 3038-0023 and 3038-0072, including
accounting for burden hours associated with former Form 3-R, will be
addressed at that time.
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OMB control number 3038-0072 previously did not account for the
burden hours associated with Form 3-R. The information collection
burden for Form 8-R under OMB control number 3038-0072 should be
modified to address the fact that the functionality of former Form 3-R
now exists in the electronic version of Form 8-R. The Commission
believes that the burden hours for Form 8-R should be increased by 0.1
hours under OMB control number 3038-0072 as well. Accordingly, the
information collection burden for Form 8-R under OMB control number
3038-0072 is 1.0 hour, which consists of the previous estimate of 0.8
hours, plus an additional 0.1 hours associated with the amendments to
the 8-R, and plus an additional 0.1 hours associated with the
functionality that previously could be attributed to Form 3-R.
III. Comments
In the 60-Day Notice, the Commission requested comments on, among
other things, its estimates regarding the modified information
collection burdens associated with the amendments to Form 8-R and the
cancellation of Form 3-R. The Commission did not receive any comments
that addressed any of its estimates or any other aspect of the
information collection.
Burden statement: As explained above, the Commission believes that
the revisions to Form 8-R increase the information collection burdens
for that form under OMB control numbers 3038-0023 and 3038-0072.
Additionally, the Commission believes that reassigning to Form 8-R the
information collection burden formerly associated with Commission Form
3-R reallocates the existing information collection burdens within OMB
control number 3038-0023, and therefore does not alter the total
information collection burden under that control number. Lastly, the
Commission believes that updating the information collection burden
under OMB control number 3038-0072 to account for the fact that the
functionality of former Form 3-R is included in Form 8-R, will cause an
additional modest increase in the information collection burden under
that control number.
The Commission estimates the burden of this collection of
information under OMB control number 3038-0023 to be:
Respondents/affected entities: Users of Form 8-R, specifically (i)
associated persons of futures commission merchants, retail foreign
exchange dealers, introducing brokers, commodity trading advisors,
commodity pool operators, and leverage transaction merchants; (ii)
principals of futures commission merchants, retail foreign exchange
dealers, introducing brokers, commodity trading advisors, commodity
pool operators, floor trader firms, or leverage transaction merchants;
(iii) floor brokers; (iv) floor traders; and (v) floor trader order
enterers.
Estimated number of respondents: 78,055.\6\
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\6\ The revisions to Form 8-R do not change the estimated number
of respondents. However, regarding the estimated number of
respondents for OMB Control No. 3038-0023, the estimate in the 60-
Day Notice incorrectly stated that there were 78,109 respondents,
which was the total number of responses. The correct estimate at
that time was 77,857. An additional 198 respondents were added under
ICR Ref. No. 201604-3038-003, related to changes made by the
Alternative to Fingerprinting Requirement For Foreign Natural
Persons final rule. As a result, the total estimated number of
respondents currently is 78,055.
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Estimated total annual burden on respondents: 7,735 hours.\7\
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\7\ Regarding the estimated total annual burden hours on
respondents, the estimate in 60-Day Notice was 7,210, which
consisted of the previous burden of 7,030 (from ICR Ref. No. 201412-
3038-002), which was temporarily rounded down to 7,000 for the
purposes of calculating the burden associated with Form 8-R, plus an
additional 210 hours attributable to the revisions to Form 8-R. The
30-day notice eliminates the temporary rounding utilized in the 60-
day notice and adds the 30 burden hours back into the total. The 30-
day notice also includes an additional 495 hours that were added to
the collection under ICR Ref. No. 201604-3038-003, related to
changes made by the Alternative to Fingerprinting Requirement For
Foreign Natural Persons final rule. As a result, the estimated total
annual burden on respondents currently is 7,735. This estimate
includes the collection burdens associated with Forms 7-R, 7-W, 8-R
and 8-T, based on the historical practice of the Commission of
addressing the burden estimates in aggregate, rather than separately
on a form-by-form basis, for all of the registration forms: Forms 7-
R, 7-W, 8-R, and 8-W.
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Frequency of collection: Periodically.
There are no capital costs or operating and maintenance costs
associated with this collection.
The Commission estimates the burden of this collection of
information under OMB control number 3038-0072 to be:
Respondents/affected entities: Users of Form 8-R, specifically
principals of swap dealers and of major swap participants.
Estimated number of respondents: 772.\8\
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\8\ Regarding the estimated number of respondents for OMB
Control No. 3038-0072, the estimate in 60-Day Notice was 770. An
additional 2 respondents were added to the collection under ICR Ref.
No. 201603-3038-006, related to changes made by the Alternative to
Fingerprinting Requirement For Foreign Natural Persons final rule.
As a result, the total estimated number of respondents currently is
772. The revisions to Form 8-R do not change the estimated number of
respondents.
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Estimated total annual burden on respondents: 672 hours.\9\
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\9\ Regarding the estimated total annual burden on respondents,
the estimate in 60-Day Notice was 648, which consisted of the
previous burden of 629 (from ICR Ref. No. 201512-3038-015), plus an
additional 19 hours attributable to the revisions to Form 8-R. An
additional 5 hours were added under ICR Ref. No. 201603-3038-006,
related to changes made by the Alternative to Fingerprinting
Requirement For Foreign Natural Persons final rule. Also, an
additional 19 hours are being added to account for the functionality
in the Form 8-R that previously could have been attributed to the
now-obsolete Form 3-R. As a result, the estimated total annual
burden on respondents currently is 672. This estimate includes the
collection burdens associated with Forms 7-R, 7-W, 8-R and 8-T,
based on the historical practice of the Commission of addressing the
burden estimates in aggregate, rather than separately on a form-by-
form basis, for all of the registration forms: Forms 7-R, 7-W, 8-R,
and 8-W.
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[[Page 63846]]
Frequency of collection: Periodically.
There are no capital costs or operating and maintenance costs
associated with this collection.
(Authority: 44 U.S.C. 3501 et seq.)
Dated: December 6, 2018.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2018-26848 Filed 12-11-18; 8:45 am]
BILLING CODE 6351-01-P
