Adoption of Revised Registration Form 8-R, 37880-37922 [2020-13465]
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Federal Register / Vol. 85, No. 122 / Wednesday, June 24, 2020 / Notices
inferred about whether a vessel is
actively fishing, the type of gear being
used, and the fisheries that are open.
NMFS uses information from VMS to
identify where vessels are operating, to
organize patrols so as to increase the
number of fishing vessels visually
examined, or to focus examination of
vessels of greatest concern, and as
evidence in prosecutions.
II. Method of Collection
Automatic GPS position reporting
starts after VMS transceiver installation
and power activation on board the
vessel. The unit is pre-configured and
tested for NMFS VMS operations. The
VMS unit is passive and automatic,
requiring no reporting effort by the
vessel operator.
III. Data
OMB Control Number: 0648–0445.
Form Number(s): None.
Type of Review: Regular submission
(extension of a current information
collection).
Affected Public: Individuals or
households; Business or other for-profit
organizations.
Estimated Number of Respondents:
550.
Estimated Time per Response: VMS
installation, maintenance, and
troubleshooting, 12 hours.
Estimated Total Annual Burden
Hours: 2,476 hours.
Estimated Total Annual Cost to
Public: $812,668.
Respondent’s Obligation: Required to
Obtain or Retain Benefits.
Legal Authority: 16 U.S.C.1801 et.
seq.; 16 U.S.C. 773–773k.
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IV. Request for Comments
We are soliciting public comments to
permit the Department/Bureau to: (a)
Evaluate whether the proposed
information collection is necessary for
the proper functions of the Department,
including whether the information will
have practical utility; (b) Evaluate the
accuracy of our estimate of the time and
cost burden for this proposed collection,
including the validity of the
methodology and assumptions used; (c)
Evaluate ways to enhance the quality,
utility, and clarity of the information to
be collected; and (d) Minimize the
reporting burden on those who are to
respond, including the use of automated
collection techniques or other forms of
information technology.
Comments that you submit in
response to this notice are a matter of
public record. We will include or
summarize each comment in our request
to OMB to approve this ICR. Before
including your address, phone number,
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email address, or other personal
identifying information in your
comment, you should be aware that
your entire comment—including your
personal identifying information—may
be made publicly available at any time.
While you may ask us in your comment
to withhold your personal identifying
information from public review, we
cannot guarantee that we will be able to
do so.
Sheleen Dumas,
Department PRA Clearance Officer, Office of
the Chief Information Officer, Commerce
Department.
[FR Doc. 2020–13527 Filed 6–23–20; 8:45 am]
BILLING CODE 3510–22–P
COMMODITY FUTURES TRADING
COMMISSION
RIN 3038–0023; 3038–0072
Adoption of Revised Registration Form
8–R
Commodity Futures Trading
Commission.
ACTION: Notice.
AGENCY:
The Commodity Futures
Trading Commission (the
‘‘Commission’’ or ‘‘CFTC’’) is revising
its Form 8–R, the application form that
individuals must use to register with the
Commission as an associated person of
a registrant, floor broker, or floor trader,
or to be listed as a principal of a
registrant (collectively, ‘‘applicants’’).
These revisions, which are essentially
technical and non-substantive in nature,
have been adopted to assist the National
Futures Association (‘‘NFA’’) in the
performance of the registration
functions authorized by the
Commission, and in the implementation
and operation of NFA’s program to
register and regulate directly the
associated persons sponsored by
members of NFA.
DATES: The new, revised version of
Form 8–R shall come into effect (and the
prior version shall cease to be in effect)
when the NFA makes the new, revised
version of the Form 8–R available on the
NFA website for use by individual
applicants.
FOR FURTHER INFORMATION CONTACT:
Joshua Sterling, Director, (202) 418–
6700, jsterling@cftc.gov; Amanda Olear,
Deputy Director, (202) 418–5283,
aolear@cftc.gov; or Christopher
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.
SUMMARY:
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SUPPLEMENTARY INFORMATION:
I. Background
Form 8–R requests information about
the applicant that can be used to assess
the applicant’s fitness to engage in
business as a derivatives professional.
Form 8–R is a Commission form
administered and used by NFA.
Individuals acting in certain capacities
in the markets regulated by the
Commission must file a completed Form
8–R with NFA.1 These applicants
include: associated persons of futures
commission merchants, retail foreign
exchange dealers, introducing brokers,
commodity trading advisors, commodity
pool operators, and leverage transaction
merchants; floor brokers; and floor
traders.2 Additionally, any individual
acting in the capacity as principal of a
futures commission merchant, retail
foreign exchange dealer, introducing
broker, commodity trading advisor,
commodity pool operator, swap dealer,
major swap participant, floor trader or
leverage transaction merchant also must
file a completed Form 8–R.3 Lastly,
individuals that enter orders for floor
trader firms must file the Form 8–R as
well.4 Individual applicants have been
required to use Form 8–R since 1977.5
NFA is currently the only registered
futures association authorized by the
Commission in accordance with Section
17 of the Commodity Exchange Act
(‘‘Act’’).6 Pursuant to Section 17(o) of
the Act,7 Regulation 3.2,8 and a series of
orders, the Commission delegated to
NFA certain registration functions
including, among other things, the
processing of all Form 8–R filings.9
1 17
CFR 3.10(a)(2), 3.11(a), and 3.12(c).
CFR 3.11(a); 3.12(c).
3 17 CFR 3.1(a); 3.10(a)(2); 3.11(a)(1). While
‘‘principal’’ is not technically a registration class
and principals do not apply for registration, for
purposes of this Notice, the Form 8–R filings by
principals will be referred to with the other Form
8–R filings as ‘‘registration applications.’’
4 17 CFR 3.11(a)(1).
5 Revision of Registration Forms and Amendment
of Related Rules, 42 FR 23988 (May 11, 1977) (Form
8–R replaced Forms 2–R, 4–R and 94).
6 7 U.S.C. 21 (2012).
7 7 U.S.C. 21(o) (2012).
8 17 CFR 3.2.
9 See, e.g., Introducing Brokers and Associated
Persons of Introducing Brokers; Authorization of
National Futures Association to Perform
Commission Registration Functions, 48 FR 35158
(Aug. 3, 1983); Performance of Registration
Functions by National Futures Association, 49 FR
39593 (Oct. 9, 1984) (futures commission
merchants, commodity pool operators, commodity
trading advisors, and associated persons thereof);
Performance of Registration Functions by National
Futures Association; Delegation of Authority, 51 FR
34490 (Sept. 29, 1986) (floor brokers); Performance
of Registration Functions by National Futures
Association with Respect to Floor Traders and Floor
Brokers, 58 FR 19657 (Apr. 15, 1993); and
Performance of Registration Functions by National
2 17
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Since the first delegation to NFA in
1984, NFA has developed substantial
expertise in registration matters,
including reviewing and processing
completed Forms 8–R. In 2002, with the
approval of the Commission, NFA
replaced its paper-based registration
system with an online registration
system that utilizes, among other things,
an electronic version of Form 8–R.10
II. Revisions to Commission Form 8–R
NFA has requested that the
Commission make several changes to
Form 8–R.11 Upon consideration, the
Commission is making all of the
changes requested by NFA and revising
and updating Form 8–R accordingly. In
addition, the Commission is updating
the Form 8–R Privacy Act and
Paperwork Reduction Act Statements.
The Form 8–R revisions are described
below.
In the ‘‘Completing the Proficiency
Requirements Section’’ of the Form 8–
R, the Commission is adding a
paragraph that describes the obligation
of an individual seeking approval as a
swap associated person or as a soleproprietor swap firm to satisfy the
Swaps Proficiency Requirements, and
what constitutes satisfaction of those
requirements. In the application itself,
the Commission is adding a question
that asks whether the applicant has
completed the Swaps Proficiency
Requirements within the past two
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Futures Association with Respect to Swap Dealers
and Major Swap Participants, 77 FR 2708 (Jan. 19,
2012).
10 Registration of Intermediaries, 67 FR 38869
(June 6, 2002). The transition to an online
registration system has permitted greater
efficiencies, including allowing individuals to
update their existing Forms 8–R instead of
completing a separate Form 3–R. To that end, in
2012, the Commission eliminated the requirement
that registrants and individuals use Form 3–R to
update information in their existing Form 7–R or 8–
R, and provided that an update to a registrant’s
online Form 7–R or 8–R would automatically create
a record of changes equivalent to a completed Form
3–R. Registration of Intermediaries, 77 FR 51898
(Aug. 28, 2012); see also, Registration of
Intermediaries, 76 FR 12888, 12891 (proposed Mar.
9, 2011).
11 Request from NFA to CFTC, dated February 14,
2020, which is on file with the Commission.
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years.12 The Commission is making
these changes to conform Form 8–R to
the Swaps Proficiency Requirements in
NFA Bylaw 301 and Compliance Rule
2–24,13 recently implemented by NFA
pursuant to CEA section 17(j).14 The
Commission believes that this question
is a necessary addition to the form, as
Form 8–R is a screening instrument
assessing fitness of a swaps associated
person, so this question only effectuates
this new requirement, ensuring that it
has been met.15
The revised Form 8–R also replaces
the Federal Bureau of Investigation
(‘‘FBI’’)-mandated disclosure for persons
whose fingerprints are taken for
purposes other than criminal justice
with an updated version of that
disclosure. In 2018, the FBI updated its
Privacy Rights notice 16 and Privacy Act
disclosure; 17 therefore, the Commission
is making conforming changes to Form
8–R.18
In the ‘‘Definition of Terms’’ section,
the Commission is revising the
definition of ‘‘adversary action’’ to
conform the definition to the way the
term is used in the form’s ‘‘Disciplinary
Information Section.’’ The Commission
is revising this definition to make the
12 The Commission acknowledges that this
requirement is not effective until January 31, 2021,
so an applicant’s response, before that date, would
not have an effect on meeting their fitness
requirements.
13 Interpretive Notice 9075–NFA Bylaw 301 and
Compliance Rule 2–24: Proficiency Requirements
for Swap APs,’’ effective January 31, 2020, available
at https://www.nfa.futures.org/rulebook/rules.aspx?
Section=9&RuleID=9075. See generally section
17(p)(1) of the Act, 7 U.S.C. 21(p), which requires
a futures association to establish training standards
and proficiency testing for persons involved in the
solicitation of swaps and their supervisors.
14 CEA section 17(j) (7 U.S.C. 21(j)) permits a
registered futures association such as NFA to make
rule changes effective ten days after receipt by the
Commission of such changes, provided the
Commission does not notify the registered futures
association within that ten-day period that it
intends to review the changes for approval. The
Commission did not so notify NFA in this instance.
15 The Commission expects those individuals that
meet this standard to still retain documentation of
proof.
16 See, https://www.fbi.gov/file-repository/
compact-council-noncriminal-justice-applicantsprivacy-rights.pdf/view.
17 5 U.S.C. 552a.
18 28 CFR 16.30–34.
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use of the term ‘‘adversary action’’ in
Form 8–R internally consistent.
Finally, the words ‘‘entity’’ and
‘‘person’’ are underlined where they
occur in the text to indicate that they are
terms that are defined in the ‘‘Definition
of Terms’’ section.
A revised version of Form 8–R that
incorporates the changes discussed
above is attached as Appendix A to this
Notice.
III. Related Matters
Paperwork Reduction Act.
Recordkeeping or information collection
requirements under the Paperwork
Reduction Act (‘‘PRA’’) related to Form
8–R exist under current law. The titles
for the existing information collections
are ‘‘Registration Under the Commodity
Exchange Act,’’ OMB control number
3038–0023, and ‘‘Registration of Swap
Dealers and Major Swap Participants,’’
OMB control number 3038–0072. The
preliminary view of the Commission is
that the revisions to Form 8–R may
modify the existing recordkeeping or
information collection requirements
under the PRA. To ensure compliance
with the PRA, the Commission will
publish in the Federal Register a
separate notice and request for comment
on the amended PRA burden associated
with the revised Form 8–R.19 The
Commission also will submit to OMB an
information collection request to amend
the information collection, in
accordance with 44 U.S.C. 3506(c)(2)(A)
and 5 CFR 1320.8(d).
Issued by the Commission on June 18,
2020, in Washington, DC
Robert Sidman,
Deputy Secretary of the Commission.
Note: The following appendices will not
appear in the Code of Federal Regulations.
Appendices to Adoption of Revised
Registration Form 8–R—Form 8–R and
Commission Voting Summary
BILLING CODE 6351–01–P
19 The notice and request for comment on the
amended PRA burden will also address reassigning
from Form 3–R to Form 8–R the PRA burden
associated with providing updated information on
Form 8–R.
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Appendix 1—Commission Voting Summary
On this matter, Chairman Tarbert and
Commissioners Quintenz, Behnam, Stump,
and Berkovitz voted in the affirmative. No
Commissioner voted in the negative.
[FR Doc. 2020–13465 Filed 6–23–20; 8:45 am]
BILLING CODE 6351–01–C
COMMODITY FUTURES TRADING
COMMISSION
Agency Information Collection
Activities: Notice of Intent To Revise
Collections, Comment Request:
Adoption of Revised Registration Form
8–R
Commodity Futures Trading
Commission.
ACTION: Notice.
AGENCY:
The Commodity Futures
Trading Commission (‘‘CFTC’’ or the
‘‘Commission’’) is announcing an
opportunity for public comment on the
proposed revision to the collection of
certain information by the Commission.
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. The Commission
revised its Form 8–R, the application
form that individuals use to register
with the Commission or to be listed as
a principal. This notice solicits
comments on the PRA implications of
the revisions to Form 8–R, including
comments that address the burdens
associated with the modified
information collection requirements of
the revised Form 8–R.
DATES: Comments must be submitted on
or before August 24, 2020.
ADDRESSES: You may submit comments,
identified by ‘‘OMB control numbers
3038–0023 and 3038–0072; Adoption of
Revised Registration Form 8–R,’’ by any
of the following methods:
• The Commission’s website, via its
Comments Online process at https://
comments.cftc.gov/. Follow the
instructions for submitting comments
through the website.
• Mail: Christopher J. 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
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SUMMARY:
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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
Regulation 145.9.1
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 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.
FOR FURTHER INFORMATION CONTACT:
Joshua Sterling, Director, (202) 418–
6700, jsterling@cftc.gov; Amanda Olear,
Deputy Director, (202) 418–5283,
aolear@cftc.gov; or Christopher
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.
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 revision to the
collections 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 number.
SUPPLEMENTARY INFORMATION:
1 17
PO 00000
CFR 145.9.
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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: The Commission recently
revised its Form 8–R, the application
form that individuals must use to
register with the Commission as an
associated person, floor broker, or floor
trader, or to be listed as a principal. The
collections of information related to
Form 8–R were previously approved by
OMB in accordance with the PRA and
assigned OMB control numbers 3038–
0023 and 3038–0072.
Form 8–R Revision
The revised Form 8–R contains
several changes that increase the
existing information collection burden,
currently 1 hour, associated with Form
8–R. The Commission estimates that the
changes, which are discussed below,
when considered together in aggregate
add a total of 0.1 burden hours to the
information collection burdens
associated with Form 8–R.
First, in the ‘‘Completing the
Proficiency Requirements Section,’’ a
new paragraph is added describing the
obligation of an individual seeking
approval as a swap associated person or
as a sole-proprietor swap firm to satisfy
the Swaps Proficiency Requirements
(recently implemented by NFA with the
Commission’s approval 2), and what
constitutes satisfaction of those
requirements. Second, in the
application itself, a new question is
added asking whether the applicant has
completed the Swaps Proficiency
Requirements within the past two years.
The revised Form 8–R also contains
several changes that do not alter the
information collection burdens
associated with Form 8–R. First, the
revised form replaces the FBI-mandated
disclosure, for persons whose
fingerprints are taken for purposes other
than criminal justice, with an updated
version of that disclosure. Second, in
the ‘‘Definition of Terms’’ section, the
definition of ‘‘adversary action’’ is
revised to conform the definition to the
way the term is used in the form’s
‘‘Disciplinary Information Section.’’
Finally, the words ‘‘entity’’ and
‘‘person’’ are underlined where they
occur in the text to indicate that these
2 See, NFA Interpretive Notice entitled ‘‘NFA
Bylaw 301 And Compliance Rule 2–24: Proficiency
Requirements for Swap APs,’’ effective January 31,
2020.
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24JNN1
]]>Agencies
[Federal Register Volume 85, Number 122 (Wednesday, June 24, 2020)]
[Notices]
[Pages 37880-37922]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-13465]
=======================================================================
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COMMODITY FUTURES TRADING COMMISSION
RIN 3038-0023; 3038-0072
Adoption of Revised Registration Form 8-R
AGENCY: Commodity Futures Trading Commission.
ACTION: Notice.
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SUMMARY: The Commodity Futures Trading Commission (the ``Commission''
or ``CFTC'') is revising its Form 8-R, the application form that
individuals must use to register with the Commission as an associated
person of a registrant, floor broker, or floor trader, or to be listed
as a principal of a registrant (collectively, ``applicants''). These
revisions, which are essentially technical and non-substantive in
nature, have been adopted to assist the National Futures Association
(``NFA'') in the performance of the registration functions authorized
by the Commission, and in the implementation and operation of NFA's
program to register and regulate directly the associated persons
sponsored by members of NFA.
DATES: The new, revised version of Form 8-R shall come into effect (and
the prior version shall cease to be in effect) when the NFA makes the
new, revised version of the Form 8-R available on the NFA website for
use by individual applicants.
FOR FURTHER INFORMATION CONTACT: Joshua Sterling, Director, (202) 418-
6700, [email protected]; Amanda Olear, Deputy Director, (202) 418-
5283, [email protected]; or Christopher 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.
SUPPLEMENTARY INFORMATION:
I. Background
Form 8-R requests information about the applicant that can be used
to assess the applicant's fitness to engage in business as a
derivatives professional. Form 8-R is a Commission form administered
and used by NFA. Individuals acting in certain capacities in the
markets regulated by the Commission must file a completed Form 8-R with
NFA.\1\ These applicants include: associated persons of futures
commission merchants, retail foreign exchange dealers, introducing
brokers, commodity trading advisors, commodity pool operators, and
leverage transaction merchants; floor brokers; and floor traders.\2\
Additionally, any individual acting in the capacity as principal of a
futures commission merchant, retail foreign exchange dealer,
introducing broker, commodity trading advisor, commodity pool operator,
swap dealer, major swap participant, floor trader or leverage
transaction merchant also must file a completed Form 8-R.\3\ Lastly,
individuals that enter orders for floor trader firms must file the Form
8-R as well.\4\ Individual applicants have been required to use Form 8-
R since 1977.\5\
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\1\ 17 CFR 3.10(a)(2), 3.11(a), and 3.12(c).
\2\ 17 CFR 3.11(a); 3.12(c).
\3\ 17 CFR 3.1(a); 3.10(a)(2); 3.11(a)(1). While ``principal''
is not technically a registration class and principals do not apply
for registration, for purposes of this Notice, the Form 8-R filings
by principals will be referred to with the other Form 8-R filings as
``registration applications.''
\4\ 17 CFR 3.11(a)(1).
\5\ Revision of Registration Forms and Amendment of Related
Rules, 42 FR 23988 (May 11, 1977) (Form 8-R replaced Forms 2-R, 4-R
and 94).
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NFA is currently the only registered futures association authorized
by the Commission in accordance with Section 17 of the Commodity
Exchange Act (``Act'').\6\ Pursuant to Section 17(o) of the Act,\7\
Regulation 3.2,\8\ and a series of orders, the Commission delegated to
NFA certain registration functions including, among other things, the
processing of all Form 8-R filings.\9\
[[Page 37881]]
Since the first delegation to NFA in 1984, NFA has developed
substantial expertise in registration matters, including reviewing and
processing completed Forms 8-R. In 2002, with the approval of the
Commission, NFA replaced its paper-based registration system with an
online registration system that utilizes, among other things, an
electronic version of Form 8-R.\10\
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\6\ 7 U.S.C. 21 (2012).
\7\ 7 U.S.C. 21(o) (2012).
\8\ 17 CFR 3.2.
\9\ See, e.g., Introducing Brokers and Associated Persons of
Introducing Brokers; Authorization of National Futures Association
to Perform Commission Registration Functions, 48 FR 35158 (Aug. 3,
1983); Performance of Registration Functions by National Futures
Association, 49 FR 39593 (Oct. 9, 1984) (futures commission
merchants, commodity pool operators, commodity trading advisors, and
associated persons thereof); Performance of Registration Functions
by National Futures Association; Delegation of Authority, 51 FR
34490 (Sept. 29, 1986) (floor brokers); Performance of Registration
Functions by National Futures Association with Respect to Floor
Traders and Floor Brokers, 58 FR 19657 (Apr. 15, 1993); and
Performance of Registration Functions by National Futures
Association with Respect to Swap Dealers and Major Swap
Participants, 77 FR 2708 (Jan. 19, 2012).
\10\ Registration of Intermediaries, 67 FR 38869 (June 6, 2002).
The transition to an online registration system has permitted
greater efficiencies, including allowing individuals to update their
existing Forms 8-R instead of completing a separate Form 3-R. To
that end, in 2012, the Commission eliminated the requirement that
registrants and individuals use Form 3-R to update information in
their existing Form 7-R or 8-R, and provided that an update to a
registrant's online Form 7-R or 8-R would automatically create a
record of changes equivalent to a completed Form 3-R. Registration
of Intermediaries, 77 FR 51898 (Aug. 28, 2012); see also,
Registration of Intermediaries, 76 FR 12888, 12891 (proposed Mar. 9,
2011).
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II. Revisions to Commission Form 8-R
NFA has requested that the Commission make several changes to Form
8-R.\11\ Upon consideration, the Commission is making all of the
changes requested by NFA and revising and updating Form 8-R
accordingly. In addition, the Commission is updating the Form 8-R
Privacy Act and Paperwork Reduction Act Statements. The Form 8-R
revisions are described below.
---------------------------------------------------------------------------
\11\ Request from NFA to CFTC, dated February 14, 2020, which is
on file with the Commission.
---------------------------------------------------------------------------
In the ``Completing the Proficiency Requirements Section'' of the
Form 8-R, the Commission is adding a paragraph that describes the
obligation of an individual seeking approval as a swap associated
person or as a sole-proprietor swap firm to satisfy the Swaps
Proficiency Requirements, and what constitutes satisfaction of those
requirements. In the application itself, the Commission is adding a
question that asks whether the applicant has completed the Swaps
Proficiency Requirements within the past two years.\12\ The Commission
is making these changes to conform Form 8-R to the Swaps Proficiency
Requirements in NFA Bylaw 301 and Compliance Rule 2-24,\13\ recently
implemented by NFA pursuant to CEA section 17(j).\14\ The Commission
believes that this question is a necessary addition to the form, as
Form 8-R is a screening instrument assessing fitness of a swaps
associated person, so this question only effectuates this new
requirement, ensuring that it has been met.\15\
---------------------------------------------------------------------------
\12\ The Commission acknowledges that this requirement is not
effective until January 31, 2021, so an applicant's response, before
that date, would not have an effect on meeting their fitness
requirements.
\13\ Interpretive Notice 9075-NFA Bylaw 301 and Compliance Rule
2-24: Proficiency Requirements for Swap APs,'' effective January 31,
2020, available at https://www.nfa.futures.org/rulebook/rules.aspx?Section=9&RuleID=9075. See generally section 17(p)(1) of
the Act, 7 U.S.C. 21(p), which requires a futures association to
establish training standards and proficiency testing for persons
involved in the solicitation of swaps and their supervisors.
\14\ CEA section 17(j) (7 U.S.C. 21(j)) permits a registered
futures association such as NFA to make rule changes effective ten
days after receipt by the Commission of such changes, provided the
Commission does not notify the registered futures association within
that ten-day period that it intends to review the changes for
approval. The Commission did not so notify NFA in this instance.
\15\ The Commission expects those individuals that meet this
standard to still retain documentation of proof.
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The revised Form 8-R also replaces the Federal Bureau of
Investigation (``FBI'')-mandated disclosure for persons whose
fingerprints are taken for purposes other than criminal justice with an
updated version of that disclosure. In 2018, the FBI updated its
Privacy Rights notice \16\ and Privacy Act disclosure; \17\ therefore,
the Commission is making conforming changes to Form 8-R.\18\
---------------------------------------------------------------------------
\16\ See, https://www.fbi.gov/file-repository/compact-council-noncriminal-justice-applicants-privacy-rights.pdf/view.
\17\ 5 U.S.C. 552a.
\18\ 28 CFR 16.30-34.
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In the ``Definition of Terms'' section, the Commission is revising
the definition of ``adversary action'' to conform the definition to the
way the term is used in the form's ``Disciplinary Information
Section.'' The Commission is revising this definition to make the use
of the term ``adversary action'' in Form 8-R internally consistent.
Finally, the words ``entity'' and ``person'' are underlined where
they occur in the text to indicate that they are terms that are defined
in the ``Definition of Terms'' section.
A revised version of Form 8-R that incorporates the changes
discussed above is attached as Appendix A to this Notice.
III. Related Matters
Paperwork Reduction Act. Recordkeeping or information collection
requirements under the Paperwork Reduction Act (``PRA'') related to
Form 8-R exist under current law. The titles for the existing
information collections are ``Registration Under the Commodity Exchange
Act,'' OMB control number 3038-0023, and ``Registration of Swap Dealers
and Major Swap Participants,'' OMB control number 3038-0072. The
preliminary view of the Commission is that the revisions to Form 8-R
may modify the existing recordkeeping or information collection
requirements under the PRA. To ensure compliance with the PRA, the
Commission will publish in the Federal Register a separate notice and
request for comment on the amended PRA burden associated with the
revised Form 8-R.\19\ The Commission also will submit to OMB an
information collection request to amend the information collection, in
accordance with 44 U.S.C. 3506(c)(2)(A) and 5 CFR 1320.8(d).
---------------------------------------------------------------------------
\19\ The notice and request for comment on the amended PRA
burden will also address reassigning from Form 3-R to Form 8-R the
PRA burden associated with providing updated information on Form 8-
R.
Issued by the Commission on June 18, 2020, in Washington, DC
Robert Sidman,
Deputy Secretary of the Commission.
Note: The following appendices will not appear in the Code of
Federal Regulations.
Appendices to Adoption of Revised Registration Form 8-R--Form 8-R and
Commission Voting Summary
BILLING CODE 6351-01-P
[[Page 37882]]
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[GRAPHIC] [TIFF OMITTED] TN24JN20.042
[[Page 37922]]
Appendix 1--Commission Voting Summary
On this matter, Chairman Tarbert and Commissioners Quintenz,
Behnam, Stump, and Berkovitz voted in the affirmative. No
Commissioner voted in the negative.
[FR Doc. 2020-13465 Filed 6-23-20; 8:45 am]
BILLING CODE 6351-01-C
