Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0009: Large Trader Reports, 3720-3721 [2023-01050]

Download as PDF 3720 Federal Register / Vol. 88, No. 13 / Friday, January 20, 2023 / Notices or enabling privacy harms, particularly as disproportionately experienced by marginalized communities? What role might design play in alleviating harms caused by discriminatory or privacyinvasive data practices? e. What role should industrydeveloped codes of conduct play in public policy responses to harmful data collection and processing and the disproportionate harms experienced by marginalized communities? What are the limitations of such codes? f. How can Congress and federal agencies that legislate, regulate, adjudicate, advise on, or enforce requirements regarding matters involving privacy, equity, and civil rights better attract, empower, and retain technological experts, particularly experts belonging to marginalized communities? Are there any best practices that should be emulated? Dated: January 17, 2023. Stephanie Weiner, Acting Chief Counsel, National Telecommunications and Information Administration. [FR Doc. 2023–01088 Filed 1–19–23; 8:45 am] BILLING CODE 3510–60–P COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Notice of Intent To Renew Collection 3038–0009: Large Trader Reports Commodity Futures Trading Commission. ACTION: Notice. AGENCY: The Commodity Futures Trading Commission (CFTC) is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act of 1995 (PRA), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment in response to the notice. This notice solicits comments on large trader reports and related forms. DATES: Comments must be submitted on or before March 21, 2023. ADDRESSES: You may submit comments, identified by OMB Control No. 3038– 0009, by any of the following methods: • The Agency’s website, at https:// comments.cftc.gov/. Follow the instructions for submitting comments through the website. lotter on DSK11XQN23PROD with NOTICES1 SUMMARY: VerDate Sep<11>2014 17:29 Jan 19, 2023 Jkt 259001 • 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 posted as received to https://www.cftc.gov. FOR FURTHER INFORMATION CONTACT: Jonathan Lave, Associate Director, Division of Market Oversight, Commodity Futures Trading Commission, (202) 418–5983; email: jlave@cftc.gov. SUPPLEMENTARY INFORMATION: Under the PRA, 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(c) and includes agency requests or requirements that members of the public submit reports, keep records, or provide information to a third party. Section 3506(c)(2)(A) of the PRA, 44 U.S.C. 3506(c)(2)(A), requires Federal agencies to provide a 60-day notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, before submitting the collection to OMB for approval. To comply with this requirement, the CFTC is publishing notice of the proposed collection of information listed below. 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 Title: Large Trader Reports (OMB Control No. 3038–0009). This is a request for extension of a currently approved information collection. Abstract: The reporting rules covered by OMB control number 3038–0009 (‘‘the Collection’’) are structured to ensure that the Commission receives adequate information to carry out its market and financial surveillance programs. The market surveillance programs analyze market information to detect and prevent market disruptions and enforce speculative position limits. The financial surveillance programs combine market information with financial data to assess the financial 1 44 U.S.C. 3512, 5 CFR 1320.5(b)(2)(i) and 1320.8 (b)(3)(vi). PO 00000 Frm 00016 Fmt 4703 Sfmt 4703 risks presented by large customer positions to Commission registrants and clearing organizations.2 The reporting rules are implemented by the Commission partly pursuant to the authority of Sections 4a, 4c(b), 4g, and 4i of the Commodity Exchange Act. Section 4a of the Act permits the Commission to set, approve exchangeset, and enforce speculative position limits. Section 4c(b) of the Act gives the Commission plenary authority to regulate transactions that involve commodity options. Section 4g of the Act imposes reporting and recordkeeping obligations on registered entities and registrants (including futures commission merchants (FCMs), introducing brokers, floor brokers, or floor traders), and requires each registrant to file such reports as the Commission may require on proprietary and customer positions executed on any board of trade in the United States or elsewhere. Lastly, section 4i of the Act requires the filing of such reports as the Commission may require when positions made or obtained on designated contract markets or derivatives transaction execution facilities equal or exceed Commissionset levels. With respect to the following collection of information, the CFTC invites comments on: • Whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information will have a practical use; • The accuracy of the Commission’s estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; • Ways to enhance the quality, usefulness, and clarity of the information to be collected; and • Ways to minimize the burden of collection of information on those who 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 2 OMB control number 3038–0009 previously included the burdens related to collections of information under 17 CFR part 19. That is no longer the case. Pursuant to position limits rule amendments, the burden associated with collections of information under part 19 (Reports by Persons Holding Bona Fide Hedge Positions and By Merchants and Dealers in Cotton) was moved to OMB control number 3038–0013 in 2020. E:\FR\FM\20JAN1.SGM 20JAN1 Federal Register / Vol. 88, No. 13 / Friday, January 20, 2023 / Notices 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 respondent burden for this collection is estimated to be .25 hour per response, on average. These estimates include the time to locate the information related to the exemptions and to file necessary exemption paperwork. There are approximately 72,644 responses annually, thus the estimated total annual burden on respondents is 18,512 hours. Respondents/Affected Entities: Large Traders, Clearing Members, Contract Markets, and other entities affected by Commission regulations 16.00 and 17.00 as well as Part 21. Estimated number of respondents: 350. Estimated Average Burden Hours per Respondent: 52.9 hours. Estimated total annual burden on respondents: 18,152 hours. Frequency of collection: Periodically. There are no capital costs or operating and maintenance costs associated with this collection. (Authority: 44 U.S.C. 3501 et seq.) Dated: January 17, 2023. Robert Sidman, Deputy Secretary of the Commission. [FR Doc. 2023–01050 Filed 1–19–23; 8:45 am] BILLING CODE 6351–01–P COMMODITY FUTURES TRADING COMMISSION lotter on DSK11XQN23PROD with NOTICES1 Agency Information Collection Activities Under OMB Review Commodity Futures Trading Commission. ACTION: Notice. AGENCY: In compliance with the Paperwork Reduction Act of 1995 SUMMARY: 3 17 CFR 145.9. VerDate Sep<11>2014 17:29 Jan 19, 2023 (‘‘PRA’’), this notice announces that the Information Collection Request (‘‘ICR’’) abstracted below has been forwarded to the Office of Information and Regulatory Affairs (‘‘OIRA’’), of the Office of Management and Budget (‘‘OMB’’), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden. DATES: Comments must be submitted on or before February 21, 2023. ADDRESSES: Written comments and recommendations for the proposed information collection should be submitted within 30 days of this notice’s publication to OIRA, at https:// www.reginfo.gov/public/do/PRAMain. Please find this particular information collection by selecting ‘‘Currently under 30-day Review—Open for Public Comments’’ or by using the website’s search function. Comments can be entered electronically by clicking on the ‘‘comment’’ button next to the information collection on the ‘‘OIRA Information Collections Under Review’’ page, or the ‘‘View ICR–Agency Submission’’ page. A copy of the supporting statement for the collection of information discussed herein may be obtained by visiting https:// www.reginfo.gov/public/do/PRAMain. In addition to the submission of comments to https://Reginfo.gov as indicated above, a copy of all comments submitted to OIRA may also be submitted to the Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) by clicking on the ‘‘Submit Comment’’ box next to the descriptive entry for OMB Control No. 3038–0023, at https:// comments.cftc.gov/FederalRegister/ PublicInfo.aspx. Or by either of the following methods: • 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. All comments must be submitted in English, or if not, accompanied by an English translation. Comments submitted to the Commission should include only information that you wish to make available publicly. If you wish the Commission to consider information that you believe is exempt from disclosure under the Freedom of Information Act, a petition for confidential treatment of the exempt information may be submitted according to the procedures established in § 145.9 of the Commission’s regulations.1 The 1 Jkt 259001 PO 00000 17 CFR 145.9. Frm 00017 Fmt 4703 Sfmt 4703 3721 Commission reserves the right, but shall have no obligation, to review, prescreen, 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. FOR FURTHER INFORMATION CONTACT: Christopher Cummings, Special Counsel, Market Participants Division, Commodity Futures Trading Commission, (202) 418–5445; or ccummings@cftc.gov, and refer to OMB Control No. 3038–0023. SUPPLEMENTARY INFORMATION: Title: Registration under the Commodity Exchange Act (OMB Control No. 3038–0023). This is a request for an extension of a currently approved information collection. Abstract: The information collected under OMB Control No. 3038–0023 is gathered through the use of forms for registration of firms and individuals who are required by the Commodity Exchange Act (‘‘CEA’’) to register with the Commission. The CEA requires commodity interest market intermediaries and participants to register, including: Futures commission merchants and introducing brokers (7 U.S.C. 6d); Commodity pool operators and commodity trading advisors (7 U.S.C. 6m(1)); Retail foreign exchange dealers (7 U.S.C. 2(c)); Associated persons (7 U.S.C. 6k); Floor traders or floor brokers (7 U.S.C. 6e); and Swap dealers and major swap participants (7 U.S.C. 6s(a)). The CFTC uses various forms for registration (and withdrawal therefrom) (the ‘‘Registration Forms’’). OMB Control No. 3038–0023 applies to the Registration Forms for registration of persons other than swap dealers and major swap participants.2 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. On October 18, 2022, 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, 87 FR 63051 (‘‘60-Day Notice’’). The 2 Forms for registration of swap dealers and major swap participants are the subject of a separate information collection (OMB Control Number 3038–0072). E:\FR\FM\20JAN1.SGM 20JAN1

Agencies

[Federal Register Volume 88, Number 13 (Friday, January 20, 2023)]
[Notices]
[Pages 3720-3721]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-01050]


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COMMODITY FUTURES TRADING COMMISSION


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

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice.

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

SUMMARY: The Commodity Futures Trading Commission (CFTC) is announcing 
an opportunity for public comment on the proposed collection of certain 
information by the agency. Under the Paperwork Reduction Act of 1995 
(PRA), Federal agencies are required to publish notice in the Federal 
Register concerning each proposed collection of information, including 
each proposed extension of an existing collection of information, and 
to allow 60 days for public comment in response to the notice. This 
notice solicits comments on large trader reports and related forms.

DATES: Comments must be submitted on or before March 21, 2023.

ADDRESSES: You may submit comments, identified by OMB Control No. 3038-
0009, by any of the following methods:
     The Agency's website, at https://comments.cftc.gov/. Follow 
the instructions for submitting comments through the website.
     Mail: Christopher 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 posted as received to https://www.cftc.gov.

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

SUPPLEMENTARY INFORMATION: Under the PRA, 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(c) and includes agency requests or requirements that 
members of the public submit reports, keep records, or provide 
information to a third party. Section 3506(c)(2)(A) of the PRA, 44 
U.S.C. 3506(c)(2)(A), requires Federal agencies to provide a 60-day 
notice in the Federal Register concerning each proposed collection of 
information, including each proposed extension of an existing 
collection of information, before submitting the collection to OMB for 
approval. To comply with this requirement, the CFTC is publishing 
notice of the proposed collection of information listed below. 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\
---------------------------------------------------------------------------

    \1\ 44 U.S.C. 3512, 5 CFR 1320.5(b)(2)(i) and 1320.8 (b)(3)(vi).
---------------------------------------------------------------------------

    Title: Large Trader Reports (OMB Control No. 3038-0009). This is a 
request for extension of a currently approved information collection.
    Abstract: The reporting rules covered by OMB control number 3038-
0009 (``the Collection'') are structured to ensure that the Commission 
receives adequate information to carry out its market and financial 
surveillance programs. The market surveillance programs analyze market 
information to detect and prevent market disruptions and enforce 
speculative position limits. The financial surveillance programs 
combine market information with financial data to assess the financial 
risks presented by large customer positions to Commission registrants 
and clearing organizations.\2\
---------------------------------------------------------------------------

    \2\ OMB control number 3038-0009 previously included the burdens 
related to collections of information under 17 CFR part 19. That is 
no longer the case. Pursuant to position limits rule amendments, the 
burden associated with collections of information under part 19 
(Reports by Persons Holding Bona Fide Hedge Positions and By 
Merchants and Dealers in Cotton) was moved to OMB control number 
3038-0013 in 2020.
---------------------------------------------------------------------------

    The reporting rules are implemented by the Commission partly 
pursuant to the authority of Sections 4a, 4c(b), 4g, and 4i of the 
Commodity Exchange Act. Section 4a of the Act permits the Commission to 
set, approve exchange-set, and enforce speculative position limits. 
Section 4c(b) of the Act gives the Commission plenary authority to 
regulate transactions that involve commodity options. Section 4g of the 
Act imposes reporting and recordkeeping obligations on registered 
entities and registrants (including futures commission merchants 
(FCMs), introducing brokers, floor brokers, or floor traders), and 
requires each registrant to file such reports as the Commission may 
require on proprietary and customer positions executed on any board of 
trade in the United States or elsewhere. Lastly, section 4i of the Act 
requires the filing of such reports as the Commission may require when 
positions made or obtained on designated contract markets or 
derivatives transaction execution facilities equal or exceed 
Commission-set levels.
    With respect to the following collection of information, the CFTC 
invites comments on:
     Whether the proposed collection of information is 
necessary for the proper performance of the functions of the 
Commission, including whether the information will have a practical 
use;
     The accuracy of the Commission's estimate of the burden of 
the proposed collection of information, including the validity of the 
methodology and assumptions used;
     Ways to enhance the quality, usefulness, and clarity of 
the information to be collected; and
     Ways to minimize the burden of collection of information 
on those who 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

[[Page 3721]]

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\
---------------------------------------------------------------------------

    \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 respondent burden for this collection is 
estimated to be .25 hour per response, on average. These estimates 
include the time to locate the information related to the exemptions 
and to file necessary exemption paperwork. There are approximately 
72,644 responses annually, thus the estimated total annual burden on 
respondents is 18,512 hours.
    Respondents/Affected Entities: Large Traders, Clearing Members, 
Contract Markets, and other entities affected by Commission regulations 
16.00 and 17.00 as well as Part 21.
    Estimated number of respondents: 350.
    Estimated Average Burden Hours per Respondent: 52.9 hours.
    Estimated total annual burden on respondents: 18,152 hours.
    Frequency of collection: Periodically.
    There are no capital costs or operating and maintenance costs 
associated with this collection.

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

    Dated: January 17, 2023.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2023-01050 Filed 1-19-23; 8:45 am]
BILLING CODE 6351-01-P
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