Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0009, Large Trader Reports, 14097-14098 [2019-06938]

Download as PDF Federal Register / Vol. 84, No. 68 / Tuesday, April 9, 2019 / Notices surrounding the respective island(s). For each FMP, the actions considered would incorporate existing management measures such as seasonal and area closures and revise other measures such as the species to be managed, stock/ stock complex composition, management reference points, accountability measures, description of essential fish habitat for stocks new to Federal management, and updated framework procedures, as deemed necessary by the Council. NMFS has reassessed the actions in each FMP relative to NEPA and its requirements and has preliminarily determined that the proposed actions would not significantly affect the quality of the human environment and that draft EISs were not required. As a result of this determination, NMFS, in collaboration with the Council, will develop a draft EA for each new FMP rather than proceeding with the development of draft EISs. The Council held public hearings to discuss the actions included in each FMP in Puerto Rico on April 1–3, 2019, in St. Thomas on April 3, 2019, and in St. Croix on April 4, 2019 (84 FR 9099, March 13, 2019), and will also take public comment on the document at the April 2019 Council meeting in San Juan, Puerto Rico. Exact dates, times, and locations of any future public hearings will be announced by the Council and will be posted to their website at: https://www.caribbeanfmc.com/ meeting-documents. NMFS will announce, through a document published in the Federal Register, all public comment periods on the final FMPs, their proposed implementing regulations, and the availability of the associated EAs. NMFS will consider all public comments received, whether they are on the final FMP, the proposed regulations, or the EA, prior to final agency action. Authority: 16 U.S.C. 1801 et seq. Dated: April 3, 2019. Jennifer M. Wallace, Acting Director, Office of Sustainable Fisheries, National Marine Fisheries Service. [FR Doc. 2019–06957 Filed 4–8–19; 8:45 am] BILLING CODE 3510–22–P amozie on DSK9F9SC42PROD with NOTICES COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Notice of Intent To Renew Collection 3038–0009, Large Trader Reports Commodity Futures Trading Commission. AGENCY: VerDate Sep<11>2014 18:15 Apr 08, 2019 Jkt 247001 ACTION: Notice. The Commodity Futures Trading Commission (CFTC) is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act of 1995 (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 response to the notice. This notice solicits comments on large trader reports and related forms. DATES: Comments must be submitted on or before June 10, 2019. ADDRESSES: You may submit comments, identified by OMB Control No. 3038– 0009 by any of the following methods: • The Agency’s website, at https:// comments.cftc.gov/. Follow the instructions for submitting comments through the website. • Mail: Christopher Kirkpatrick, Secretary of the Commission, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. • Hand Delivery/Courier: Same as Mail above. Please submit your comments using only one method. All comments must be submitted in English, or if not, accompanied by an English translation. Comments will be posted as received to https://www.cftc.gov. FOR FURTHER INFORMATION CONTACT: Jonathan Lave, Associate Director, Division of Market Oversight, Commodity Futures Trading Commission, (202) 418–5983; email: jlave@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 SUMMARY: PO 00000 Frm 00015 Fmt 4703 Sfmt 4703 14097 notice of the proposed collection of information listed below. Title: Large Trader Reports (OMB Control No. 3038–0009). This is a request for extension of a currently approved information collection. Abstract: The reporting rules covered by OMB control number 3038–0009 (‘‘the Collection’’) are structured to ensure that the Commission receives adequate information to carry out its market and financial surveillance programs. The market surveillance programs analyze market information to detect and prevent market disruptions and enforce speculative position limits. The financial surveillance programs combine market information with financial data to assess the financial risks presented by large customer positions to Commission registrants and clearing organizations. The reporting rules are implemented by the Commission partly pursuant to the authority of Sections 4a, 4c(b), 4g, and 4i of the Commodity Exchange Act. Section 4a of the Act permits the Commission to set, approve exchangeset, and enforce speculative position limits. Section 4c(b) of the Act gives the Commission plenary authority to regulate transactions that involve commodity options. Section 4g of the Act imposes reporting and recordkeeping obligations on registered entities and registrants (including futures commission merchants (FCMs), introducing brokers, floor brokers, or floor traders), and requires each registrant to file such reports as the Commission may require on proprietary and customer positions executed on any board of trade in the United States or elsewhere. Lastly, section 4i of the Act requires the filing of such reports as the Commission may require when positions made or obtained on designated contract markets or derivatives transaction execution facilities equal or exceed Commissionset levels. 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 E:\FR\FM\09APN1.SGM 09APN1 14098 Federal Register / Vol. 84, No. 68 / Tuesday, April 9, 2019 / Notices are to respond, including through the use of appropriate automated electronic, mechanical, or other technological collection techniques or other forms of information technology; e.g., permitting electronic submission of responses. You should submit only information that you wish to make available publicly. If you wish the Commission to consider information that you believe is exempt from disclosure under the Freedom of Information Act, a petition for confidential treatment of the exempt information may be submitted according to the procedures established in § 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. Burden Statement: The respondent burden for this collection is estimated to be 0.26 hour per response, on average. These estimates include the time to locate the information related to the exemptions and to file necessary exemption paperwork. There are approximately 74,418 responses annually, thus the estimated total annual burden on respondents is 19,676 hours. Respondents/Affected Entities: Large Traders, Clearing Members, Contract Markets, and other entities affected by Commission regulations 16.00 and 17.00 as well as Parts 19 and 21. Estimated number of respondents: 480. Estimated total annual burden on respondents: 19,676 hours. Frequency of collection: Periodically. There are no capital costs or operating and maintenance costs associated with this collection. amozie on DSK9F9SC42PROD with NOTICES (Authority: 44 U.S.C. 3501 et seq.) Dated: April 3, 2019. Robert Sidman, Deputy Secretary of the Commission. [FR Doc. 2019–06938 Filed 4–8–19; 8:45 am] BILLING CODE 6351–01–P 1 17 CFR 145.9. VerDate Sep<11>2014 18:15 Apr 08, 2019 Jkt 247001 COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Notice of Intent To Renew Collection Number 3038–0078, Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers Commodity Futures Trading Commission. AGENCY: ACTION: Notice. The Commodity Futures Trading Commission (‘‘CFTC’’ or ‘‘Commission’’) is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act (‘‘PRA’’), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the collections of information mandated by Commission regulation 1.71 (Conflicts of interest policies and procedures by futures commission merchants and introducing brokers). SUMMARY: Comments must be submitted on or before June 10, 2019. DATES: You may submit comments, identified by ‘‘Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers,’’ and OMB Control No. 3038– 0078 by any of the following methods: • The Agency’s website, at https:// comments.cftc.gov/. Follow the instructions for submitting comments through the website. • Mail: Christopher Kirkpatrick, Secretary of the Commission, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. • Hand Delivery/Courier: Same as Mail above. 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. ADDRESSES: FOR FURTHER INFORMATION CONTACT: Jacob Chachkin, Special Counsel, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission, (202) 418–5496; email: jchachkin@cftc.gov. PO 00000 Frm 00016 Fmt 4703 Sfmt 4703 Under the PRA,1 Federal agencies must obtain approval from the Office of Management and Budget (‘‘OMB’’) for each collection of information they conduct or sponsor. ‘‘Collection of Information’’ is defined in 44 U.S.C. 3502(3) and 5 CFR 1320.3 and includes agency requests or requirements that members of the public submit reports, keep records, or provide information to a third party. Section 3506(c)(2)(A) of the PRA, 44 U.S.C. 3506(c)(2)(A), requires Federal agencies to provide a 60-day notice in the Federal Register concerning each proposed collection of information, 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. Title: Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers (OMB Control No. 3038–0078). This is a request for an extension of a currently approved information collection. Abstract: On April 3, 2012, the Commission adopted Commission regulation 1.71 (Conflicts of interest policies and procedures by futures commission merchants and introducing brokers) 2 pursuant to section 4d(c) 3 of the Commodity Exchange Act (‘‘CEA’’). Commission regulation 1.71 requires generally that, among other things, futures commission merchants (‘‘FCM’’) 4 and introducing brokers (‘‘IB’’) 5 develop conflicts of interest procedures and disclosures, adopt and implement written policies and procedures reasonably designed to ensure compliance with their conflicts of interest and disclosure obligations, and maintain specified records related to those requirements.6 The Commission believes that the information collection obligations imposed by Commission Regulation 1.71 are essential (i) to ensuring that FCMs and IBs develop and maintain the conflicts of interest systems, procedures and disclosures required by the CEA, and Commission regulations, and (ii) to the effective evaluation of these SUPPLEMENTARY INFORMATION: 1 44 U.S.C. 3501 et seq. CFR 1.71. 3 7 U.S.C. 6d(c). 4 For the definition of FCM, see section 1a(28) of the CEA and Commission regulation 1.3. 7 U.S.C. 1a(28) and 17 CFR 1.3. 5 For the definition of IB, see section 1a(31) of the CEA and Commission regulation 1.3. 7 U.S.C. 1a(31) and 17 CFR 1.3. 6 See 17 CFR 1.71. 2 17 E:\FR\FM\09APN1.SGM 09APN1

Agencies

[Federal Register Volume 84, Number 68 (Tuesday, April 9, 2019)]
[Notices]
[Pages 14097-14098]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-06938]


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

COMMODITY FUTURES TRADING COMMISSION


Agency Information Collection Activities: Notice of Intent To 
Renew Collection 3038-0009, Large Trader Reports

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice.

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

SUMMARY: The Commodity Futures Trading Commission (CFTC) is announcing 
an opportunity for public comment on the proposed collection of certain 
information by the agency. Under the Paperwork Reduction Act of 1995 
(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 response to the notice. This 
notice solicits comments on large trader reports and related forms.

DATES: Comments must be submitted on or before June 10, 2019.

ADDRESSES: You may submit comments, identified by OMB Control No. 3038-
0009 by any of the following methods:
     The Agency's website, at https://comments.cftc.gov/. Follow 
the instructions for submitting comments through the website.
     Mail: Christopher Kirkpatrick, Secretary of the 
Commission, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street NW, Washington, DC 20581.
     Hand Delivery/Courier: Same as Mail above.
    Please submit your comments using only one method. All comments 
must be submitted in English, or if not, accompanied by an English 
translation. Comments will be posted as received to https://www.cftc.gov.

FOR FURTHER INFORMATION CONTACT: Jonathan Lave, Associate Director, 
Division of Market Oversight, Commodity Futures Trading Commission, 
(202) 418-5983; email: [email protected].

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.
    Title: Large Trader Reports (OMB Control No. 3038-0009). This is a 
request for extension of a currently approved information collection.
    Abstract: The reporting rules covered by OMB control number 3038-
0009 (``the Collection'') are structured to ensure that the Commission 
receives adequate information to carry out its market and financial 
surveillance programs. The market surveillance programs analyze market 
information to detect and prevent market disruptions and enforce 
speculative position limits. The financial surveillance programs 
combine market information with financial data to assess the financial 
risks presented by large customer positions to Commission registrants 
and clearing organizations.
    The reporting rules are implemented by the Commission partly 
pursuant to the authority of Sections 4a, 4c(b), 4g, and 4i of the 
Commodity Exchange Act. Section 4a of the Act permits the Commission to 
set, approve exchange-set, and enforce speculative position limits. 
Section 4c(b) of the Act gives the Commission plenary authority to 
regulate transactions that involve commodity options. Section 4g of the 
Act imposes reporting and recordkeeping obligations on registered 
entities and registrants (including futures commission merchants 
(FCMs), introducing brokers, floor brokers, or floor traders), and 
requires each registrant to file such reports as the Commission may 
require on proprietary and customer positions executed on any board of 
trade in the United States or elsewhere. Lastly, section 4i of the Act 
requires the filing of such reports as the Commission may require when 
positions made or obtained on designated contract markets or 
derivatives transaction execution facilities equal or exceed 
Commission-set levels.
    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

[[Page 14098]]

are to respond, including through the use of appropriate automated 
electronic, mechanical, or other technological collection techniques or 
other forms of information technology; e.g., permitting electronic 
submission of responses.
    You should submit only information that you wish to make available 
publicly. If you wish the Commission to consider information that you 
believe is exempt from disclosure under the Freedom of Information Act, 
a petition for confidential treatment of the exempt information may be 
submitted according to the procedures established in 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.
    Burden Statement: The respondent burden for this collection is 
estimated to be 0.26 hour per response, on average. These estimates 
include the time to locate the information related to the exemptions 
and to file necessary exemption paperwork. There are approximately 
74,418 responses annually, thus the estimated total annual burden on 
respondents is 19,676 hours.
    Respondents/Affected Entities: Large Traders, Clearing Members, 
Contract Markets, and other entities affected by Commission regulations 
16.00 and 17.00 as well as Parts 19 and 21.
    Estimated number of respondents: 480.
    Estimated total annual burden on respondents: 19,676 hours.
    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: April 3, 2019.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2019-06938 Filed 4-8-19; 8:45 am]
 BILLING CODE 6351-01-P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.