Agency Information Collection Activities: Notice of Intent To Revise Collection Numbers 3038-0087, Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants, 14921-14922 [2019-07306]

Download as PDF jbell on DSK30RV082PROD with NOTICES Federal Register / Vol. 84, No. 71 / Friday, April 12, 2019 / Notices ME Contracting Activity: DEPT OF THE ARMY, W6QM MICC CTR–FT DIX (RC) Service Type: Janitorial/Mechanical Maintenance Mandatory for: U.S. Federal Building, Mesa, AZ Mandatory Source of Supply: Goodwill Community Services, Inc., Phoenix, AZ Contracting Activity: GENERAL SERVICES ADMINISTRATION, FPDS AGENCY COORDINATOR Service Type: Janitorial/Grounds Maintenance Mandatory for: U.S. Border Patrol: Support Building 501, Calexico, CA Mandatory Source of Supply: ARC-Imperial Valley, El Centro, CA Contracting Activity: GENERAL SERVICES ADMINISTRATION, FPDS AGENCY COORDINATOR Service Type: Janitorial/Custodial Mandatory for: U.S. Border Patrol: Customs Building and Truck Stop, San Diego, CA Mandatory Source of Supply: Job Options, Inc., San Diego, CA Contracting Activity: GENERAL SERVICES ADMINISTRATION, FPDS AGENCY COORDINATOR Service Type: Administrative Services Mandatory for: GSA, Las Vegas: Las Vegas Field Office (sub Reno), Reno, NV Mandatory Source of Supply: UNKNOWN Contracting Activity: GENERAL SERVICES ADMINISTRATION, FPDS AGENCY COORDINATOR Service Type: Administrative Services Mandatory for: GSA, Federal Supply Service: 300 Ala Moana, Honolulu, HI Mandatory Source of Supply: Goodwill Contract Services of Hawaii, Inc., Honolulu, HI Contracting Activity: GENERAL SERVICES ADMINISTRATION, FPDS AGENCY COORDINATOR Service Type: Custodial Services Mandatory for: Internal Revenue Service Building: 106 S 15th Street, Omaha, NE Mandatory Source of Supply: Goodwill Specialty Services, Inc., Omaha, NE Contracting Activity: PUBLIC BUILDINGS SERVICE, GSA/PUBLIC BUILDINGS SERVICE Service Type: Laundry Service Mandatory for: US Navy, Naval Hospital Medical Center Clinic, 2000 West Marine View Drive, Everett, WA Mandatory Source of Supply: Northwest Center, Seattle, WA Contracting Activity: DEPT OF THE NAVY, NAVAL HOSPITAL Service Type: Mailroom Operations Mandatory for: US Army, Corpus Christi Army Depot, Corpus Christi, TX Mandatory Source of Supply: Goodwill Industries of South Texas, Inc., Corpus Christi, TX Contracting Activity: DEPT OF THE ARMY, W6QK CCAD CONTR OFF Service Type: Janitorial/Custodial Mandatory for: Naval & Marine Corps Reserve Center, Broken Arrow, OK Mandatory Source of Supply: UNKNOWN Contracting Activity: DEPT OF THE NAVY, VerDate Sep<11>2014 18:18 Apr 11, 2019 Jkt 247001 US FLEET FORCES COMMAND Service Type: Janitorial/Mechanical Maintenance Mandatory for: U.S. Federal Building: 3rd Avenue and 1st Street, Cullman, AL Mandatory Source of Supply: Alabama Goodwill Industries, Inc., Birmingham, AL Contracting Activity: PUBLIC BUILDINGS SERVICE, ACQUISITION DIVISION/ SERVICES BRANCH Michael R. Jurkowski, Deputy Director, Business & PL Operations. [FR Doc. 2019–07315 Filed 4–11–19; 8:45 am] BILLING CODE 6353–01–P COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Notice of Intent To Revise Collection Numbers 3038–0087, Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants Commodity Futures Trading Commission. ACTION: Notice. AGENCY: The Commodity Futures Trading Commission (‘‘CFTC’’ or ‘‘Commission’’) is announcing an opportunity for public comment on the proposed renewal of three collections 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 regulations 23.201 through 23.205 (Reporting, Recordkeeping, and Daily Trading Records Requirements For Swap Dealers and Major Swap Participants). DATES: Comments must be submitted on or before June 11, 2019. ADDRESSES: You may submit comments, identified by ‘‘Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants,’’ and Collection Number 3038–0087 by any of the following methods: • The Agency’s website, at http:// comments.cftc.gov/. Follow the instructions for submitting comments through the website. • Mail: Christopher Kirkpatrick, Secretary of the Commission, Commodity Futures Trading SUMMARY: PO 00000 Frm 00011 Fmt 4703 Sfmt 4703 14921 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. FOR FURTHER INFORMATION CONTACT: Gregory Scopino, Special Counsel, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission, (202) 418–5175; email: gscopino@cftc.gov. SUPPLEMENTARY INFORMATION: 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. 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. Title: Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants (OMB Control Nos. 3038– 0087). This is a request for an extension of currently approved information collection. Abstract: On April 3, 2012, the Commission adopted Commission regulations 23.201 through 23.205 (Reporting, Recordkeeping, and Daily Trading Records Requirements For Swap Dealers and Major Swap Participants) 2 pursuant to sections 4s(f) 3 and 4s(g) 4 of the Commodity Exchange Act (‘‘CEA’’).5 Commission regulations 23.201 through 23.205 require, among other things, swap 1 44 U.S.C. 3501 et seq. CFR 23.201–23.205. 3 7 U.S.C. 6s(f). 4 7 U.S.C. 6s(g). 5 77 FR 20128. 2 17 E:\FR\FM\12APN1.SGM 12APN1 14922 Federal Register / Vol. 84, No. 71 / Friday, April 12, 2019 / Notices jbell on DSK30RV082PROD with NOTICES dealers (‘‘SD’’) 6 and major swap participants (‘‘MSP’’) 7 to maintain transaction and position records of their swaps (including daily trading records) and to maintain specified business records (including records related to the governance and financial status of the swap dealer or major swap participant, complaints received by such SD or MSP and such SD or MSP’s marketing and sales materials). They also require SDs and MSPs to report certain swap transaction data to swap data repositories, to satisfy certain real time public reporting requirements, and to maintain records of information reported to swap data depositories and for real time reporting purposes.8 The Commission believes that the information collection obligations imposed by Commission regulations 23.201 through 23.205 are necessary to implement sections 4s(f) and 4s(g) of the CEA, including ensuring that each SD and MSP maintains the required records of their business activities and an audit trail sufficient to conduct comprehensive and accurate trade reconstruction. 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. With respect to the collection of information, the CFTC invites comments on: • Whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information will have a practical use; • The accuracy of the Commission’s estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; • Ways to enhance the quality, usefulness, and clarity of the information to be collected; and • Ways to minimize the burden of collection of information on those who are to respond, including through the use of appropriate automated electronic, mechanical, or other technological collection techniques or other forms of information technology; e.g., permitting electronic submission of responses. All comments must be submitted in English, or if not, accompanied by an English translation. Comments will be posted as received to http:// 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.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 http://www.cftc.gov that it may deem to be inappropriate for publication, such as obscene language. All submissions that have been redacted or removed that contain comments on the merits of the information collection request will be retained in the public comment file and will be considered as required under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. Burden Statement: The Commission is revising its estimate of the burden for this collection to reflect the current number of respondents and estimated burden hours. The respondent burden for this collection is estimated to be as follows: Number of Registrants: 103. Estimated Average Burden Hours per Registrant: 2,096. Estimated Aggregate Burden Hours: 215,888. Frequency of Recordkeeping: As applicable. (Authority: 44 U.S.C. 3501 et seq.) Dated: April 9, 2019. Robert Sidman, Deputy Secretary of the Commission. [FR Doc. 2019–07306 Filed 4–11–19; 8:45 am] BILLING CODE 6351–01–P COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Notice of Intent To Revise Collection 3038–0089, Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps Commodity Futures Trading Commission. ACTION: Notice. AGENCY: The Commodity Futures Trading Commission (‘‘CFTC’’) is announcing an opportunity for public comment on the proposed renewal of an information collection by the agency. SUMMARY: 6 For the definition of SD, see section 1a(49) of the CEA and Commission regulation 1.3. 7 U.S.C. 1a(49) and 17 CFR 1.3. 7 For the definitions of MSP, see section 1a(33) of the CEA and Commission regulation 1.3. 7 U.S.C. 1a(33) and 17 CFR 1.3. 8 See 17 CFR 23.201–23.205. VerDate Sep<11>2014 18:18 Apr 11, 2019 Jkt 247001 9 17 PO 00000 CFR 145.9. Frm 00012 Fmt 4703 Sfmt 4703 Under the Paperwork Reduction Act (‘‘PRA’’), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information and to allow 60 days for public comment. This notice solicits comments on the swap data recordkeeping and reporting requirements codified in 17 CFR 46. This part imposes recordkeeping and reporting requirements on the following entities: Swap Dealers (‘‘SDs’’), Major Swap Participants (‘‘MSPs’’), and swap counterparties that are neither swap dealers nor major swap participants (‘‘non-SD/MSP counterparties’’). DATES: Comments must be submitted on or before June 11, 2019. ADDRESSES: You may submit comments, identified by ‘‘Renewal of Collection Pertaining to Swap Data Recordkeeping and Reporting Requirements: PreEnactment and Transition Swaps,’’ and 3038–0089, by any of the following methods: • The Agency’s website, at http:// 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. FOR FURTHER INFORMATION CONTACT: Meghan Tente, Division of Market Oversight, Commodity Futures Trading Commission, 1155 21st Street NW, (202) 418–5785, email: mtente@cftc.gov, and refer to OMB Control No. 3038–0089. SUPPLEMENTARY INFORMATION: Under the PRA, 44 U.S.C. 3501 et seq., Federal agencies must obtain approval from the Office of Management and Budget (‘‘OMB’’) for each collection of information they conduct or sponsor. ‘‘Collection of Information’’ is defined in 44 U.S.C. 3502(3) and 5 CFR 1320.3 and includes agency requests or requirements that members of the public submit reports, keep records, or provide information to a third party. Section 3506(c)(2)(A) of the PRA, 44 U.S.C. 3506(c)(2)(A), requires Federal agencies to provide a 60-day notice in the Federal Register concerning each proposed collection of information before submitting the collection to OMB for approval. To comply with this requirement, the CFTC is publishing notice of the proposed amendment to the collection of information listed below. E:\FR\FM\12APN1.SGM 12APN1

Agencies

[Federal Register Volume 84, Number 71 (Friday, April 12, 2019)]
[Notices]
[Pages 14921-14922]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-07306]


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COMMODITY FUTURES TRADING COMMISSION


Agency Information Collection Activities: Notice of Intent To 
Revise Collection Numbers 3038-0087, Reporting, Recordkeeping, and 
Daily Trading Records Requirements for Swap Dealers and Major Swap 
Participants

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice.

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SUMMARY: The Commodity Futures Trading Commission (``CFTC'' or 
``Commission'') is announcing an opportunity for public comment on the 
proposed renewal of three collections 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 regulations 23.201 through 23.205 
(Reporting, Recordkeeping, and Daily Trading Records Requirements For 
Swap Dealers and Major Swap Participants).

DATES: Comments must be submitted on or before June 11, 2019.

ADDRESSES: You may submit comments, identified by ``Reporting, 
Recordkeeping, and Daily Trading Records Requirements for Swap Dealers 
and Major Swap Participants,'' and Collection Number 3038-0087 by any 
of the following methods:
     The Agency's website, at http://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.

FOR FURTHER INFORMATION CONTACT: Gregory Scopino, Special Counsel, 
Division of Swap Dealer and Intermediary Oversight, Commodity Futures 
Trading Commission, (202) 418-5175; email: [email protected].

SUPPLEMENTARY INFORMATION: 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. 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.
---------------------------------------------------------------------------

    \1\ 44 U.S.C. 3501 et seq.
---------------------------------------------------------------------------

    Title: Reporting, Recordkeeping, and Daily Trading Records 
Requirements for Swap Dealers and Major Swap Participants (OMB Control 
Nos. 3038-0087). This is a request for an extension of currently 
approved information collection.
    Abstract: On April 3, 2012, the Commission adopted Commission 
regulations 23.201 through 23.205 (Reporting, Recordkeeping, and Daily 
Trading Records Requirements For Swap Dealers and Major Swap 
Participants) \2\ pursuant to sections 4s(f) \3\ and 4s(g) \4\ of the 
Commodity Exchange Act (``CEA'').\5\ Commission regulations 23.201 
through 23.205 require, among other things, swap

[[Page 14922]]

dealers (``SD'') \6\ and major swap participants (``MSP'') \7\ to 
maintain transaction and position records of their swaps (including 
daily trading records) and to maintain specified business records 
(including records related to the governance and financial status of 
the swap dealer or major swap participant, complaints received by such 
SD or MSP and such SD or MSP's marketing and sales materials). They 
also require SDs and MSPs to report certain swap transaction data to 
swap data repositories, to satisfy certain real time public reporting 
requirements, and to maintain records of information reported to swap 
data depositories and for real time reporting purposes.\8\ The 
Commission believes that the information collection obligations imposed 
by Commission regulations 23.201 through 23.205 are necessary to 
implement sections 4s(f) and 4s(g) of the CEA, including ensuring that 
each SD and MSP maintains the required records of their business 
activities and an audit trail sufficient to conduct comprehensive and 
accurate trade reconstruction. 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.
---------------------------------------------------------------------------

    \2\ 17 CFR 23.201-23.205.
    \3\ 7 U.S.C. 6s(f).
    \4\ 7 U.S.C. 6s(g).
    \5\ 77 FR 20128.
    \6\ For the definition of SD, see section 1a(49) of the CEA and 
Commission regulation 1.3. 7 U.S.C. 1a(49) and 17 CFR 1.3.
    \7\ For the definitions of MSP, see section 1a(33) of the CEA 
and Commission regulation 1.3. 7 U.S.C. 1a(33) and 17 CFR 1.3.
    \8\ See 17 CFR 23.201-23.205.
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    With respect to the collection of information, the CFTC invites 
comments on:
     Whether the proposed collection of information is 
necessary for the proper performance of the functions of the 
Commission, including whether the information will have a practical 
use;
     The accuracy of the Commission's estimate of the burden of 
the proposed collection of information, including the validity of the 
methodology and assumptions used;
     Ways to enhance the quality, usefulness, and clarity of 
the information to be collected; and
     Ways to minimize the burden of collection of information 
on those who are to respond, including through the use of appropriate 
automated electronic, mechanical, or other technological collection 
techniques or other forms of information technology; e.g., permitting 
electronic submission of responses.
    All comments must be submitted in English, or if not, accompanied 
by an English translation. Comments will be posted as received to 
http://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.\9\
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    \9\ 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 http://www.cftc.gov that it may deem to be 
inappropriate for publication, such as obscene language. All 
submissions that have been redacted or removed that contain comments on 
the merits of the information collection request will be retained in 
the public comment file and will be considered as required under the 
Administrative Procedure Act and other applicable laws, and may be 
accessible under the Freedom of Information Act.
    Burden Statement: The Commission is revising its estimate of the 
burden for this collection to reflect the current number of respondents 
and estimated burden hours. The respondent burden for this collection 
is estimated to be as follows:
    Number of Registrants: 103.
    Estimated Average Burden Hours per Registrant: 2,096.
    Estimated Aggregate Burden Hours: 215,888.
    Frequency of Recordkeeping: As applicable.

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

    Dated: April 9, 2019.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2019-07306 Filed 4-11-19; 8:45 am]
BILLING CODE 6351-01-P