Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0074: Core Principles and Other Requirements for Swap Execution Facilities, 5147-5148 [2021-01081]

Download as PDF khammond on DSKJM1Z7X2PROD with NOTICES Federal Register / Vol. 86, No. 11 / Tuesday, January 19, 2021 / Notices Form Number(s): (AIA = American Invents; SB = Specimen Book). • PTO/AIA/17P (Petition Fee Under 37 CFR 1.17(f), (g), and (h) Transmittal). • PTO/AIA/24A (Petition for Express Abandonment to Avoid Publication Under 37 CFR 1.138(c)). • PTO/SB/17P (Petition Fee Under 37 CFR 1.17(f), (g), and (h) Transmittal). • PTO/SB/23 (Petition for Extension of Time Under 37 CFR 1.136(b)). • PTO/SB24A, (Petition for Express Abandonment to Avoid Publication Under 37 CFR 1.138(c)). • PTO/SB/28 (Petition to Make Special Under Accelerated Examination Program). • PTO/SB/140 (Petition to Withdraw an Application from Issue 1.313). Type of Request: Extension and revision of a currently approved information collection. Number of Respondents: 40,922 respondents per year. Average Hour per Response: The USPTO estimates that it will take the public between 5 minutes (0.08 hours) to 12 hours to complete a response, depending on the complexity of the particular item. This includes the time to gather the necessary information, prepare the appropriate documents, and submit the completed response to the USPTO. Estimated Total Annual Respondent Burden Hours: 72,958 hours. Estimated Total Annual Non-Hour Cost Burden: $3,195,134. Needs and Uses: The United States Patent and Trademark Office (USPTO) is required by 35 U.S.C. 131 et seq. to examine an application for patent and, when appropriate, issue a patent. The USPTO also is required to publish patent applications, with certain exceptions, promptly after the expiration of a period of 18 months from the earliest filing date for which a benefit is sought under Title 35, U.S.C. Many actions taken by the USPTO during its examination of an application for patent or for reissue of a patent, or during its reexamination of a patent, are subject to review by an appeal to the Patent Trial and Appeal Board. For other USPTO actions, review is in the form of administrative review obtained via submission of a petition to the USPTO. USPTO petitions practice also provides an opportunity for a patent applicant or owner to supply additional information that may be required in order for the USPTO to further process an application or patent. This information collection covers petitions filed in patent applications and reexamination proceedings that, when submitted to the USPTO, must be accompanied by the fee set forth in 37 VerDate Sep<11>2014 19:19 Jan 17, 2021 Jkt 253001 CFR 1.17(f), (g), or (h). This information collection also covers the transmittals for the petition fees. Affected Public: Private sector; individuals or households. Frequency: On occasion. Respondent’s Obligation: Required to obtain or retain benefits. This information collection request may be viewed at www.reginfo.gov. Follow the instructions to view Department of Commerce, USPTO information collections currently under review by OMB. Written comments and recommendations for this information collection should be submitted within 30 days of the publication of this notice on the following website www.reginfo.gov/public/do/PRAMain. Find this particular information collection by selecting ‘‘Currently under 30-day Review—Open for Public Comments’’ or by using the search function and entering either the title of the information collection or the OMB Control Number 0651–0059. Further information can be obtained by: • Email: InformationCollection@ uspto.gov. Include ‘‘0651–0059 information request’’ in the subject line of the message. • Mail: Kimberly Hardy, Office of the Chief Administrative Officer, United States Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313– 1450. Kimberly Hardy, Information Collections Officer, Office of the Chief Administrative Officer, United States Patent and Trademark Office. [FR Doc. 2021–00943 Filed 1–15–21; 8:45 am] BILLING CODE 3510–16–P COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Notice of Intent To Extend Collection 3038–0074: Core Principles and Other Requirements for Swap Execution Facilities 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 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, SUMMARY: PO 00000 Frm 00018 Fmt 4703 Sfmt 4703 5147 including proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments, as described below, on the proposed Information Collection Requests (‘‘ICR’’) titled: OMB Control Number 3038–0074 and Part 37, Relating to Core Principles and Other Requirements for Swap Execution Facilities. DATES: Comments must be submitted on or before March 22, 2021. ADDRESSES: You may submit comments, and ‘‘OMB Control No. 3038–0074’’ 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 and identify that it is for the renewal of Collection Number 3038–0074. 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: Roger Smith, Associate Chief Counsel, Division of Market Oversight, Commodity Futures Trading Commission, (202) 418–5344; email: rsmith@cftc.gov; or Richard Mo, Assistant Chief Counsel, Division of Market Oversight, Commodity Futures Trading Commission, (202) 418–7637; email: rmo@cftc.gov. 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, 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 amendment to E:\FR\FM\19JAN1.SGM 19JAN1 khammond on DSKJM1Z7X2PROD with NOTICES 5148 Federal Register / Vol. 86, No. 11 / Tuesday, January 19, 2021 / Notices the collection 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: Core Principles and Other Requirements for Swap Execution Facilities (OMB Control No. 3038– 0074). This is a request for extension of a currently approved information collection. Abstract: Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (‘‘Dodd-Frank Act’’) added new section 5h to the Commodity Exchange Act (‘‘CEA’’) to impose requirements concerning the registration and operation of swap execution facilities (‘‘SEFs’’), which the Commission has incorporated in part 37 of its regulations. These information collections are needed for the Commission to ensure that SEFs comply with these requirements. Among other requirements, part 37 of the Commission’s regulations imposes SEF registration requirements for a trading platform or system, obligates SEFs to provide transaction confirmations to swap counterparties, and requires SEFs to comply with 15 core principles. Collection 3038–0074 was created in response to the part 37 regulatory requirements for SEFs. In April 2018, the Commission published a 30-Day Notice of Intent to Renew Collection 3038–0074 (30-Day Renewal Notice) and stated that 25 SEFs were registered with the Commission.1 However, since publication of the 30Day Renewal Notice, the Commission has granted permanent registration to several additional SEFs, while others SEFs have had their registrations vacated or have been deemed dormant under part 40 of the Commission regulations, for a total of 21 registered SEFs.2 Therefore, the Commission is revising the below burden statement for OMB Control No. 3038–0074 to account for the decrease in the number of registered SEFs. 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; 1 83 FR 15557 (Apr. 21, 2018). includes 20 SEFs that are currently registered with the Commission and one dormant SEF that is in the process of filing for reinstatement in accordance with Commission regulation 37.3(d) and is currently operating under staff no-action relief. See CFTC Letter No. 20–29, available at https://www.cftc.gov/csl/20-29/download. • 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.3 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 Commission is revising its estimate of the burden for this collection to account for the change in the number of SEFs currently registered with the Commission. The respondent burden for this collection is estimated to be as follows: Estimated Number of Respondents: 21. Estimated Average Burden Hours per Respondent: 21,000. Estimated Total Annual Burden Hours: 21,000.4 Frequency of Collection: As applicable. There are no capital costs or operating and maintenance costs associated with this collection. Authority: 44 U.S.C. 3501 et seq. 2 This VerDate Sep<11>2014 21:56 Jan 17, 2021 Jkt 253001 3 17 CFR 145.9. Commission notes that collection 3038– 0074 includes an additional 1,200 burden hours for SEF registration applicants that have not been affected by this amendment. Therefore, the total burden for this collection is 22,200 hours. 4 The PO 00000 Frm 00019 Fmt 4703 Sfmt 4703 Dated: January 13, 2021. Robert Sidman, Deputy Secretary of the Commission. [FR Doc. 2021–01081 Filed 1–15–21; 8:45 am] BILLING CODE 6351–01–P CONSUMER PRODUCT SAFETY COMMISSION [Docket No. CPSC–2020–0021] Agency Information Collection Activities; Submission for OMB Review; Comment Request—Child Strength Study Consumer Product Safety Commission. ACTION: Notice. AGENCY: As required by the Paperwork Reduction Act of 1995, the Consumer Product Safety Commission (CPSC or Commission) announces that CPSC has submitted to the Office of Management and Budget (OMB) a new proposed collection of information for a study that will assess the strength capabilities of children. On August 31, 2020, CPSC published a notice in the Federal Register announcing the agency’s intent to seek approval of this collection of information. After reviewing and considering the comments CPSC received, by publication of this notice, the Commission announces that CPSC has submitted to OMB a request for approval of this collection of information. DATES: Submit written comments on this request for approval of information collection requirements by February 18, 2021. ADDRESSES: Send written comments and recommendations for the proposed information collection within 30 days of publication of this notice to: www.reginfo.gov/public/do/PRAMain. Find this particular information collection by selecting, ‘‘Currently under 30-day Review—Open for Public Comments,’’ or by using the search function. In addition, written comments that are sent to OMB also should be submitted electronically at: https:// www.regulations.gov, under Docket No. CPSC–2020–0021. FOR FURTHER INFORMATION CONTACT: Cynthia Gillham, Consumer Product Safety Commission, 4330 East-West Highway, Bethesda, MD 20814; (301) 504–7791, or by email to: CGillham@ cpsc.gov. SUPPLEMENTARY INFORMATION: SUMMARY: A. Background Under the Paperwork Reduction Act of 1995 (PRA; 44 U.S.C. 3501–3520), E:\FR\FM\19JAN1.SGM 19JAN1

Agencies

Commodity Futures Trading Commission

[Federal Register Volume 86, Number 11 (Tuesday, January 19, 2021)]
[Notices]
[Pages 5147-5148]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-01081]


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COMMODITY FUTURES TRADING COMMISSION


Agency Information Collection Activities: Notice of Intent To 
Extend Collection 3038-0074: Core Principles and Other Requirements for 
Swap Execution Facilities

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice.

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SUMMARY: The Commodity Futures Trading Commission (CFTC) 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 proposed extension of an existing collection of 
information, and to allow 60 days for public comment. This notice 
solicits comments, as described below, on the proposed Information 
Collection Requests (``ICR'') titled: OMB Control Number 3038-0074 and 
Part 37, Relating to Core Principles and Other Requirements for Swap 
Execution Facilities.

DATES: Comments must be submitted on or before March 22, 2021.

ADDRESSES: You may submit comments, and ``OMB Control No. 3038-0074'' 
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 and identify that 
it is for the renewal of Collection Number 3038-0074. 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: Roger Smith, Associate Chief Counsel, 
Division of Market Oversight, Commodity Futures Trading Commission, 
(202) 418-5344; email: [email protected]; or Richard Mo, Assistant Chief 
Counsel, Division of Market Oversight, Commodity Futures Trading 
Commission, (202) 418-7637; email: [email protected].

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, 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 amendment to

[[Page 5148]]

the collection 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: Core Principles and Other Requirements for Swap Execution 
Facilities (OMB Control No. 3038-0074). This is a request for extension 
of a currently approved information collection.
    Abstract: Title VII of the Dodd-Frank Wall Street Reform and 
Consumer Protection Act (``Dodd-Frank Act'') added new section 5h to 
the Commodity Exchange Act (``CEA'') to impose requirements concerning 
the registration and operation of swap execution facilities (``SEFs''), 
which the Commission has incorporated in part 37 of its regulations. 
These information collections are needed for the Commission to ensure 
that SEFs comply with these requirements. Among other requirements, 
part 37 of the Commission's regulations imposes SEF registration 
requirements for a trading platform or system, obligates SEFs to 
provide transaction confirmations to swap counterparties, and requires 
SEFs to comply with 15 core principles. Collection 3038-0074 was 
created in response to the part 37 regulatory requirements for SEFs.
    In April 2018, the Commission published a 30-Day Notice of Intent 
to Renew Collection 3038-0074 (30-Day Renewal Notice) and stated that 
25 SEFs were registered with the Commission.\1\ However, since 
publication of the 30-Day Renewal Notice, the Commission has granted 
permanent registration to several additional SEFs, while others SEFs 
have had their registrations vacated or have been deemed dormant under 
part 40 of the Commission regulations, for a total of 21 registered 
SEFs.\2\ Therefore, the Commission is revising the below burden 
statement for OMB Control No. 3038-0074 to account for the decrease in 
the number of registered SEFs.
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    \1\ 83 FR 15557 (Apr. 21, 2018).
    \2\ This includes 20 SEFs that are currently registered with the 
Commission and one dormant SEF that is in the process of filing for 
reinstatement in accordance with Commission regulation 37.3(d) and 
is currently operating under staff no-action relief. See CFTC Letter 
No. 20-29, available at https://www.cftc.gov/csl/20-29/download.
---------------------------------------------------------------------------

    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 Sec.  145.9 of the 
Commission's regulations.\3\
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    \3\ 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 Commission is revising its estimate of the 
burden for this collection to account for the change in the number of 
SEFs currently registered with the Commission. The respondent burden 
for this collection is estimated to be as follows:
    Estimated Number of Respondents: 21.
    Estimated Average Burden Hours per Respondent: 21,000.
    Estimated Total Annual Burden Hours: 21,000.\4\
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    \4\ The Commission notes that collection 3038-0074 includes an 
additional 1,200 burden hours for SEF registration applicants that 
have not been affected by this amendment. Therefore, the total 
burden for this collection is 22,200 hours.
---------------------------------------------------------------------------

    Frequency of Collection: As applicable.
    There are no capital costs or operating and maintenance costs 
associated with this collection.

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

    Dated: January 13, 2021.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2021-01081 Filed 1-15-21; 8:45 am]
BILLING CODE 6351-01-P

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