Agency Information Collection Activities: Notice of Intent To Extend Collection Number 3038-0080, Annual Report for Chief Compliance Officer of Registrants, 15191-15193 [2019-07381]

Download as PDF amozie on DSK9F9SC42PROD with NOTICES Federal Register / Vol. 84, No. 72 / Monday, April 15, 2019 / Notices A copy of the supporting statement for the collection of information discussed herein may be obtained by visiting http://RegInfo.gov. 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 information 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 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 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: Jocelyn Partridge, Special Counsel, Division of Clearing and Risk, Commodity Futures Trading Commission, (202) 418–5926; email: jpartridge@cftc.gov. SUPPLEMENTARY INFORMATION: Title: Clearing Member Risk Management (OMB Control No. 3038– 0094). This is a request for extension of a currently approved information collection. Abstract: Section 3(b) of the Commodity Exchange Act (‘‘Act’’ or ‘‘CEA’’) provides that one of the purposes of the Act is to ensure the financial integrity of all transactions subject to the Act and to avoid systemic risk. Section 8a(5) authorizes the Commission to promulgate such regulations that it believes are reasonably necessary to effectuate any of the provisions or to accomplish any of the purposes of the Act. Risk management systems are critical to the avoidance of systemic risks. Section 4s(j)(2) requires each Swap Dealer (‘‘SD’’) and Major Swap Participant (‘‘MSP’’) to have risk management systems adequate for managing its business. Section 4s(j)(4) requires each SD and MSP to have 1 17 CFR 145.9. VerDate Sep<11>2014 17:16 Apr 12, 2019 Jkt 247001 internal systems and procedures to perform any of the functions set forth in Section 4s. Section 4d requires FCMs to register with the Commodity Futures Trading Commission (‘‘Commission’’). It further requires Futures Commission Merchants (‘‘FCMs’’) to segregate customer funds. Section 4f requires FCMs to maintain certain levels of capital. Section 4g establishes reporting and recordkeeping requirements for FCMs. Pursuant to these provisions, the Commission adopted § 1.73 which applies to clearing members that are FCMs and § 23.609 which applies to clearing members that are SDs or MSPs. These provisions require these clearing members to have procedures to limit the financial risks they incur as a result of clearing trades and liquid resources to meet the obligations that arise. The regulations require clearing members to: (1) Establish credit and market riskbased limits based on position size, order size, margin requirements, or similar factors; (2) use automated means to screen orders for compliance with the risk-based limits; (3) monitor for adherence to the risk-based limits intraday and overnight; (4) conduct stress tests of all positions in the proprietary account and all positions in any customer account that could pose material risk to the futures commission merchant at least once per week; (5) evaluate its ability to meet initial margin requirements at least once per week; (6) evaluate its ability to meet variation margin requirements in cash at least once per week; (7) evaluate its ability to liquidate the positions it clears in an orderly manner, and estimate the cost of the liquidation at least once per month; and (8) test all lines of credit at least once per quarter. Each of these items has been observed by Commission staff as an element of an existing sound risk management program at an SD, MSP, or FCM. The Commission regulations require each clearing member to establish written procedures to comply with this regulation and to keep records documenting its compliance. The information collection obligations imposed by the regulations are necessary to implement certain provisions of the CEA, including ensuring that registrants exercise effective risk management and for the efficient operation of trading venues among SDs, MSPs, and FCMs. 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 PO 00000 Frm 00018 Fmt 4703 Sfmt 4703 15191 control number.2 On November 14, 2018, the Commission published in the Federal Register notice of the proposed extension of this information collection and provided 60 days for public comment on the proposed extension, 83 FR 56828 (‘‘60-Day Notice’’). The Commission did not receive any relevant comments. Accordingly, it did not alter the burden estimates set forth in the 60-Day Notice. Burden Statement: The respondent burden for this collection is estimated to average 2 hours per response for an estimated annual burden of 504 hours per respondent. This estimate includes the total time, effort, or financial resources expended by persons to generate, maintain, retain, disclose, or provide information to or for a federal agency. Respondents/Affected Entities: Clearing member Swap Dealers, Major Swap Participants, and Futures Commission Merchants. Estimated Number of Respondents: 166 (101 Clearing Member Swap Dealers and 65 Clearing Member Futures Commission Merchants). Estimated Average Burden Hours per Respondent: 504. Estimated Total Annual Burden Hours: 83,664 hours. Frequency of Collection: As needed. There are no capital costs or operating and maintenance costs associated with this collection. (Authority: 44 U.S.C. 3501 et seq.) Dated: April 9, 2019. Robert Sidman, Deputy Secretary of the Commission. [FR Doc. 2019–07380 Filed 4–12–19; 8:45 am] BILLING CODE 6351–01–P COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Notice of Intent To Extend Collection Number 3038–0080, Annual Report for Chief Compliance Officer of Registrants 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 extension of a collection of certain information by the agency. Under the Paperwork Reduction Act SUMMARY: 2 The OMB control numbers for the CFTC’s regulations were published on December 30, 1981. See 46 FR 63035 (Dec. 30, 1981). E:\FR\FM\15APN1.SGM 15APN1 15192 Federal Register / Vol. 84, No. 72 / Monday, April 15, 2019 / Notices (‘‘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 3.3 (Chief Compliance Officer). Comments must be submitted on or before June 14, 2019. ADDRESSES: You may submit comments, identified by ‘‘Annual Report for Chief Compliance Officer of Registrants,’’ and Collection Number 3038–0080 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. Comments will be posted as received to http:// www.cftc.gov. DATES: amozie on DSK9F9SC42PROD with NOTICES FOR FURTHER INFORMATION CONTACT: Pamela M. Geraghty, Special Counsel, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission, (202) 418–5634, email: pgeraghty@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 1 44 U.S.C. 3501 et seq. VerDate Sep<11>2014 17:16 Apr 12, 2019 Jkt 247001 notice of the proposed collection of information listed below. Title: Annual Report for Chief Compliance Officer of Registrants (OMB Control No. 3038–0080). This is a request for an extension of a currently approved information collection. Abstract: On April 3, 2012, the Commission adopted Commission Regulation 3.3 (Chief Compliance Officer) 2 under sections 4d(d) and 4s(k) 3 of the Commodity Exchange Act (‘‘CEA’’). Commission Regulation 3.3 requires each futures commission merchant (‘‘FCM’’) 4, swap dealer (‘‘SD’’) 5, and major swap participant (‘‘MSP’’) 6 to designate, by filing a form 8–R, a chief compliance officer who is responsible for developing and administering policies and procedures that fulfill certain duties of the SD, MSP, or FCM and that are reasonably designed to ensure the registrant’s compliance with the CEA and Commission regulations; establishing procedures for the remediation of noncompliance issues identified by the chief compliance officer; establishing procedures for the handling, management response, remediation, retesting, and closing of noncompliance issues; preparing, signing, certifying and filing with the Commission an annual compliance report that contains the information specified in the regulations; amending the annual report if material errors or omissions are identified; and maintaining records of the registrant’s compliance policies and procedures and records related to the annual report. The information collection obligations imposed by Commission Regulation 3.3 are essential to ensuring that FCMs, SDs, and MSPs maintain comprehensive policies and procedures that promote compliance with the CEA and Commission regulations. In particular, the Commission believes that, among other things, these obligations (i) promote compliance behavior through periodic self-evaluation, (ii) inform the Commission of possible compliance weaknesses, (iii) assist the Commission in determining whether the registrant remains in compliance with the CEA and Commission regulations, and (iv) help the Commission to assess whether the registrant has mechanisms in place 2 17 CFR 3.3. U.S.C. 6d(d) and 6s(k). 4 For the definition of FCM, see section 1a(28) of the CEA and Commission Regulation 1.3(p). 7 U.S.C. 1a(28) and 17 CFR 1.3(p). 5 For the definition of SD, see section 1a(49) of the CEA and Commission Regulation 1.3(ggg). 7 U.S.C. 1a(49) and 17 CFR 1.3(ggg). 6 For the definitions of MSP, see section 1a(33) of the CEA and Commission Regulation 1.3(hhh). 7 U.S.C. 1a(33) and 17 CFR 1.3(hhh). 37 PO 00000 Frm 00019 Fmt 4703 Sfmt 4703 to adequately address compliance problems that could lead to a failure of the registrant. 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. 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.7 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: In light of the contraction in the number of Commission-registered SDs and FCMs since the Commission promulgated Regulation 3.3, the Commission is revising its estimate of the burden for this collection. Accordingly, the respondent burden for this collection is estimated to be as follows: Number of Registrants: 171. Estimated Average Burden Hours Per Registrant: 1006. Estimated Aggregate Burden Hours: 172,026. 7 17 E:\FR\FM\15APN1.SGM CFR 145.9. 15APN1 Federal Register / Vol. 84, No. 72 / Monday, April 15, 2019 / Notices Frequency of Recordkeeping: Annually or on occasion. Service (FRS), toll-free, at 1–800–877– 8339. (Authority: 44 U.S.C. 3501 et seq.) SUPPLEMENTARY INFORMATION: Dated: April 9, 2019. Robert Sidman, Deputy Secretary of the Commission. Full Text of Announcement [FR Doc. 2019–07381 Filed 4–12–19; 8:45 am] Purpose of Program: The purpose of the Perkins Innovation and Modernization Grant Program is to identify, support, and rigorously evaluate Evidence-Based 1 and innovative strategies and activities to improve and modernize Career and Technical Education (CTE) and ensure workforce skills taught in CTE programs funded under the Carl D. Perkins Career and Technical Education Act of 2006, as amended by the Strengthening Career and Technical Education for the 21st Century Act (Perkins V or the Act) align with labor market needs. Background: One of the most pressing tasks and most important opportunities facing America today is closing the Nation’s workforce skills gap, while unleashing untapped talent where it is needed most. Although the U.S. labor market has strengthened over the last several years, as unemployment has reached historic lows,2 business leaders continue to voice concerns about the gap between the skills needed to advance their companies, and those that many workers can offer today. The National Federation of Independent Business reported that 35 percent of small businesses were unable to find qualified applicants to fill job openings in January 2019.3 The U.S. Chamber of Commerce Foundation examined skills gaps on an occupation-by-occupation basis and detailed in a March 2018 report that more job openings than workers contributed to a skills gap of more than 4.4 million job openings. The skills gap was greatest in the health-care sector where over a million health-care jobs are unfilled for lack of qualified workers.4 The Department knows that there are many ways to validate that students have developed skills that employers need: Industry-recognized certificates, associates degrees, stackable credits and credentials, licenses, I. Funding Opportunity Description BILLING CODE 6351–01–P DEPARTMENT OF EDUCATION Applications for New Awards; Perkins Innovation and Modernization Grant Program Office of Career, Technical, and Adult Education, Department of Education. ACTION: Notice. AGENCY: The Department of Education (Department) is issuing a notice inviting applications for new awards for fiscal year (FY) 2019 for the Perkins Innovation and Modernization Grant Program, Catalog of Federal Domestic Assistance (CFDA) number 84.051F. This notice relates to the approved information collection under OMB control number 1894–0006. DATES: Applications Available: April 15, 2019. Deadline for Notice of Intent to Apply: Applicants are strongly encouraged, but not required, to submit a notice of intent to apply by May 15, 2019. Date of Pre-Application Webinar: For information about a pre-application webinar or potential future webinars, visit the Perkins Collaborative Resource Network (PCRN) at http://cte.ed.gov/. Deadline for Transmittal of Applications: June 14, 2019. Deadline for Intergovernmental Review: August 13, 2019. ADDRESSES: For the addresses for obtaining and submitting an application, please refer to our Common Instructions for Applicants to Department of Education Discretionary Grant Programs, published in the Federal Register on February 13, 2019 (84 FR 3768), and available at www.govinfo.gov/content/pkg/FR-201902-13/pdf/2019-02206.pdf. FOR FURTHER INFORMATION CONTACT: Laura Messenger, U.S. Department of Education, 400 Maryland Avenue SW, Potomac Center Plaza (PCP), Room 11028, Washington, DC 20202–7241. Telephone: (202) 245–7840. Email: PerkinsIandMgrants@ed.gov. If you use a telecommunications device for the deaf (TDD) or a text telephone (TTY), call the Federal Relay amozie on DSK9F9SC42PROD with NOTICES SUMMARY: VerDate Sep<11>2014 17:16 Apr 12, 2019 Jkt 247001 1 Throughout this notice, all defined terms are denoted with capitals. 2 The Employment Situation, U.S. Bureau of Labor and Statistics. (January 4, 2019). Retrieved from: www.bls.gov/news.release/pdf/empsit.pdf. 3 National Federation of Independent Business. Monthly Job Report (January 2019). Retrieved from: www.nfib.com/assets/jobs1218hw1.pdf. 4 Restuccia, D., Taska, B. and Bittle, S. ‘‘Different Skills, Different Gaps: Measuring & Closing the Skills,’’ March 2018. U.S. Chamber of Commerce Foundation. Retrieved from: www.uschamberfoundation.org/sites/default/files/ Skills_Gap_Different_Skills_Different_Gaps_ FINAL.pdf. PO 00000 Frm 00020 Fmt 4703 Sfmt 4703 15193 advanced degrees, four-year degrees, and apprenticeships. As Secretary DeVos has said, ‘‘We must also rethink education after high school and embrace the fact that a global economy demands a posture of lifelong learning . . . We must put to rest the notion that a traditional four-year degree is the only pathway to success.’’ 5 On July 31, 2018, President Trump signed the Strengthening Career and Technical Education for the 21st Century Act, reauthorizing the Carl D. Perkins Career and Technical Education Act of 2006. Perkins V recognizes the importance of developing employability skills through high-quality CTE programs and aligns several new key definitions to the Workforce Innovation and Opportunity Act (WIOA)(29 U.S.C. 3101 et seq.) and the Elementary and Secondary Education Act, as amended by the Every Student Succeeds Act (ESEA)(20 U.S.C. 6301 et seq.). For example, the new definition for CTE Programs of Study requires alignment with the needs of industry. State plans under Perkins V require consultation with employers, among others, and the local comprehensive needs assessment must include a description of how CTE programs are aligned to State, regional, or local in-demand industry sectors or occupations. Perkins V allows Eligible Recipients to build off of these new opportunities to redesign CTE programs to better prepare students for successful careers and to rethink and revitalize CTE delivery systems in the United States. One way we will support these efforts through the Perkins Innovation and Modernization Grant Program, funded under section 114(e) of Perkins V, is by awarding up to six competitive grants to Eligible Entities, Eligible Institutions, and Eligible Recipients to create, develop, implement, replicate, or take to scale Evidence-Based, fieldinitiated innovations that modernize CTE, increase program effectiveness and alignment, and improve student outcomes. Grant funds under this competition may be used for a broad range of approaches to innovation and modernization, and grantees agree to conduct a rigorous Independent Evaluation of their project. The intent of the Perkins Innovation and Modernization Grant Program is to test new ideas that can help better prepare students for success in the workforce. Section 114(e)(1) of Perkins V requires the strategies and activities funded under this program to be not 5 Devos, Betsy. Remarks to the House Education and the Workforce Committee, May 22, 2018. Retrieved from: www.ed.gov/news/speeches/ prepared-remarks-us-secretary-education-betsydevos-house-education-and-workforce-committee. E:\FR\FM\15APN1.SGM 15APN1

Agencies

[Federal Register Volume 84, Number 72 (Monday, April 15, 2019)]
[Notices]
[Pages 15191-15193]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-07381]


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COMMODITY FUTURES TRADING COMMISSION


Agency Information Collection Activities: Notice of Intent To 
Extend Collection Number 3038-0080, Annual Report for Chief Compliance 
Officer of Registrants

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice.

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

SUMMARY: The Commodity Futures Trading Commission (``CFTC'' or 
``Commission'') is announcing an opportunity for public comment on the 
proposed extension of a collection of certain information by the 
agency. Under the Paperwork Reduction Act

[[Page 15192]]

(``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 3.3 (Chief Compliance Officer).

DATES: Comments must be submitted on or before June 14, 2019.

ADDRESSES: You may submit comments, identified by ``Annual Report for 
Chief Compliance Officer of Registrants,'' and Collection Number 3038-
0080 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. Comments will be posted as received to 
http://www.cftc.gov.

FOR FURTHER INFORMATION CONTACT: Pamela M. Geraghty, Special Counsel, 
Division of Swap Dealer and Intermediary Oversight, Commodity Futures 
Trading Commission, (202) 418-5634, 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.
---------------------------------------------------------------------------

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

    Title: Annual Report for Chief Compliance Officer of Registrants 
(OMB Control No. 3038-0080). This is a request for an extension of a 
currently approved information collection.
    Abstract: On April 3, 2012, the Commission adopted Commission 
Regulation 3.3 (Chief Compliance Officer) \2\ under sections 4d(d) and 
4s(k) \3\ of the Commodity Exchange Act (``CEA''). Commission 
Regulation 3.3 requires each futures commission merchant (``FCM'') \4\, 
swap dealer (``SD'') \5\, and major swap participant (``MSP'') \6\ to 
designate, by filing a form 8-R, a chief compliance officer who is 
responsible for developing and administering policies and procedures 
that fulfill certain duties of the SD, MSP, or FCM and that are 
reasonably designed to ensure the registrant's compliance with the CEA 
and Commission regulations; establishing procedures for the remediation 
of noncompliance issues identified by the chief compliance officer; 
establishing procedures for the handling, management response, 
remediation, retesting, and closing of noncompliance issues; preparing, 
signing, certifying and filing with the Commission an annual compliance 
report that contains the information specified in the regulations; 
amending the annual report if material errors or omissions are 
identified; and maintaining records of the registrant's compliance 
policies and procedures and records related to the annual report. The 
information collection obligations imposed by Commission Regulation 3.3 
are essential to ensuring that FCMs, SDs, and MSPs maintain 
comprehensive policies and procedures that promote compliance with the 
CEA and Commission regulations. In particular, the Commission believes 
that, among other things, these obligations (i) promote compliance 
behavior through periodic self-evaluation, (ii) inform the Commission 
of possible compliance weaknesses, (iii) assist the Commission in 
determining whether the registrant remains in compliance with the CEA 
and Commission regulations, and (iv) help the Commission to assess 
whether the registrant has mechanisms in place to adequately address 
compliance problems that could lead to a failure of the registrant. 
With respect to the collection of information, the CFTC invites 
comments on:
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    \2\ 17 CFR 3.3.
    \3\ 7 U.S.C. 6d(d) and 6s(k).
    \4\ For the definition of FCM, see section 1a(28) of the CEA and 
Commission Regulation 1.3(p). 7 U.S.C. 1a(28) and 17 CFR 1.3(p).
    \5\ For the definition of SD, see section 1a(49) of the CEA and 
Commission Regulation 1.3(ggg). 7 U.S.C. 1a(49) and 17 CFR 1.3(ggg).
    \6\ For the definitions of MSP, see section 1a(33) of the CEA 
and Commission Regulation 1.3(hhh). 7 U.S.C. 1a(33) and 17 CFR 
1.3(hhh).
---------------------------------------------------------------------------

     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.
    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.\7\
---------------------------------------------------------------------------

    \7\ 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: In light of the contraction in the number of 
Commission-registered SDs and FCMs since the Commission promulgated 
Regulation 3.3, the Commission is revising its estimate of the burden 
for this collection. Accordingly, the respondent burden for this 
collection is estimated to be as follows:
    Number of Registrants: 171.
    Estimated Average Burden Hours Per Registrant: 1006.
    Estimated Aggregate Burden Hours: 172,026.

[[Page 15193]]

    Frequency of Recordkeeping: Annually or on occasion.

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

    Dated: April 9, 2019.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2019-07381 Filed 4-12-19; 8:45 am]
 BILLING CODE 6351-01-P