Agency Information Collection Activities: Notice of Intent to Renew Collection 3038-0103, Ownership and Control Reports, Forms 102/102S,40/40S, and 71 (Trader and Account Identification Reports), 59877-59878 [2023-18710]

Download as PDF Federal Register / Vol. 88, No. 167 / Wednesday, August 30, 2023 / Notices COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Notice of Intent to Renew Collection 3038–0103, Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports) Commodity Futures Trading Commission. ACTION: Notice. AGENCY: The Commodity Futures Trading Commission (‘‘CFTC’’ or ‘‘Commission’’) is announcing an opportunity for public comment on the proposed renewal of the 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 and to allow 60 days for public comment. This notice solicits comments in connection with information collection requirements under certain rules and related forms (the ‘‘final rules’’) that the Commission adopted to enhance its identification of futures and swap market participants. DATES: Comments must be submitted on or before October 30, 2023. ADDRESSES: You may submit comments, identified by OMB Control No. 3038– 0103, by any of the following methods: • CFTC Website: 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 of these methods and identify that it is for the renewal of Collection Number 3038–0103. FOR FURTHER INFORMATION CONTACT: Chase Lindsey, Assistant Chief Counsel, Division of Market Oversight, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581; (202) 740–4833; clindsey@ cftc.gov. lotter on DSK11XQN23PROD with NOTICES1 SUMMARY: 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 SUPPLEMENTARY INFORMATION: VerDate Sep<11>2014 17:31 Aug 29, 2023 Jkt 259001 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 collection of information listed below. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. Title: Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports) (OMB Control No. 3038–0103). This is a request for extension of a currently approved information collection. Abstract: The final rules 1 created new information collection requirements via §§ 17.01, 18.04, 18.05, and 20.5. Specifically, § 17.01 provides for the filing of Form 102A, Form 102B and Form 71, as follows: • Pursuant to § 17.01(a), futures commission merchants (‘‘FCMs’’), clearing members, and foreign brokers shall identify new special accounts to the Commission on Form 102A; • Pursuant to § 17.01(b), clearing members shall identify volume threshold accounts to the Commission on Form 102B; and • Pursuant to § 17.01(c), omnibus volume threshold account originators and omnibus reportable sub-account originators shall identify reportable subaccounts to the Commission on Form 71 when requested via a special call by the Commission or its designee. Additional reporting requirements arise from § 18.04, which results in the collection of information via Form 40 from and regarding traders who own, hold, or control reportable positions; volume threshold account controllers; persons who own volume threshold accounts; reportable sub-account controllers; and persons who own reportable sub-accounts. Reporting requirements also arise from § 20.5(a), which requires all reporting entities to submit Form 102S for swap counterparty or customer consolidated accounts with reportable 1 See Final Rule, Ownership and Control Reports, Forms 102/102S, 40/40S, and 71, 78 FR 69178 (Nov. 18, 2013). Terms used herein and not otherwise defined herein shall have the meaning assigned to such terms in the final rules or in the Commission’s regulations. PO 00000 Frm 00014 Fmt 4703 Sfmt 4703 59877 positions. In addition, § 20.5(b) requires every person subject to books or records under current § 20.6 to complete a 40S filing after a special call upon such person by the Commission. In addition to the reporting requirements summarized above, § 18.05 imposes recordkeeping requirements upon: (1) Traders who own, hold, or control a reportable futures or options on futures position; (2) volume threshold account controllers; (3) persons who own volume threshold accounts; (4) reportable sub-account controllers; and (5) persons who own reportable subaccounts. With respect to the collection of information, the CFTC invites comments on: • Whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information will have a practical use; • The accuracy of the Commission’s estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; • Ways to enhance the quality, usefulness, and clarity of the information to be collected; and • Ways to minimize the burden of collection of information on those who are to respond, including through the use of appropriate automated electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses. All comments must be submitted in English, or if not, accompanied by an English translation. Comments will be posted as received to 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 § 145.9 of the Commission’s regulations.2 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 2 17 E:\FR\FM\30AUN1.SGM CFR 145.9. 30AUN1 59878 Federal Register / Vol. 88, No. 167 / Wednesday, August 30, 2023 / Notices 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 estimates the burden of this collection of information as follows: Estimated Number of Respondents: 1,779. Estimated Average Burden Hours per Respondent: 102. Estimated Total Annual Burden Hours: 188,980. Frequency of Collection: On occasion. (Authority: 44 U.S.C. 3501 et seq.) Dated: August 25, 2023. Christopher Kirkpatrick, Secretary of the Commission. [FR Doc. 2023–18710 Filed 8–29–23; 8:45 am] BILLING CODE 6351–01–P CONSUMER FINANCIAL PROTECTION BUREAU [Docket No. CFPB–2023–0043] Agency Information Collection Activities: Comment Request Consumer Financial Protection Bureau. ACTION: Notice and request for comment. AGENCY: In accordance with the Paperwork Reduction Act of 1995 (PRA), the Consumer Financial Protection Bureau (CFPB) requests the extension of the Office of Management and Budget’s (OMB’s) approval for an existing information collection titled ‘‘Real Estate Settlement Procedures Act (Regulation X)’’ approved under OMB Number 3170–0016. DATES: Written comments are encouraged and must be received on or before September 29, 2023 to be assured of consideration. ADDRESSES: Written comments and recommendations for the proposed information collection should be sent 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 general, all comments received will become public records, including any personal information provided. Sensitive personal information, such as account numbers or Social Security numbers, should not be included. FOR FURTHER INFORMATION CONTACT: Requests for additional information should be directed to Anthony May, lotter on DSK11XQN23PROD with NOTICES1 SUMMARY: VerDate Sep<11>2014 17:31 Aug 29, 2023 Jkt 259001 Paperwork Reduction Act Officer, at (202) 435–7278, or email: CFPB_PRA@ cfpb.gov. If you require this document in an alternative electronic format, please contact CFPB_Accessibility@ cfpb.gov. Please do not submit comments to these email boxes. SUPPLEMENTARY INFORMATION: Title of Collection: Real Estate Settlement Procedures Act (Regulation X). OMB Control Number: 3170–0016. Type of Review: Extension without change of a currently approved collection. Affected Public: Private sector: business or other for-profits, not-forprofit institutions. Estimated Number of Respondents: 12,506. Estimated Total Annual Burden Hours: 1,087,981. Abstract: Regulation X 1 implements the Real Estate Settlement Procedures Act (RESPA).2 Regulation X contains information collections in the form of various disclosure and recordkeeping requirements. The disclosures in this collection are required by the statute and implementing regulations. Consumers use the disclosures required by RESPA and Regulation X to inform their choice of settlement service providers, review the final terms of a settlement, understand whom to contact about questions concerning their mortgage loan, and identify/protect themselves against inaccurate or questionable loan servicing practices. Regulation X requires these information collections. However, to the extent that compliance with requirements in Regulation Z 3 provides an exemption from compliance with similar requirements in Regulation X, any relevant information collection burden is accounted for in OMB Control Number 3170–0015. Request for Comments: The CFPB published a 60-day Federal Register notice on February 8, 2023, (88 FR 8262) under Docket Number: CFPB–2023– 0013. The CFPB is publishing this notice and soliciting comments on: (a) Whether the collection of information is necessary for the proper performance of the functions of the CFPB, including whether the information will have practical utility; (b) The accuracy of the CFPB’s estimate of the burden of the collection of information, including the validity of the methods and the assumptions used; (c) Ways to enhance the quality, utility, and clarity of the information to be collected; and (d) 1 12 CFR parts 1024.1–.41. U.S.C. 2601 et seq. 3 12 CFR 1026. 2 12 PO 00000 Frm 00015 Fmt 4703 Sfmt 4703 Ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology. Comments submitted in response to this notice will be reviewed by OMB as part of its review of this request. All comments will become a matter of public record. Anthony May, Paperwork Reduction Act Officer, Consumer Financial Protection Bureau. [FR Doc. 2023–18760 Filed 8–29–23; 8:45 am] BILLING CODE 4810–AM–P DEPARTMENT OF DEFENSE Department of the Air Force [Docket No. ARH–221221A–PL] Notice of Intent To Grant a Partially Exclusive Patent License Department of the Air Force, Department of Defense. ACTION: Notice of intent. AGENCY: Pursuant to the Bayh-Dole Act and implementing regulations, the Department of the Air Force hereby gives notice of its intent to grant a partially exclusive (the field to include outdoor recreation) patent license agreement to Bowerbags, LLC, a corporation of the State of Ohio, having a place of business at 601 East 3rd St., Dayton, Ohio 45402. DATES: Written objections must be filed no later than fifteen (15) calendar days after the date of publication of this Notice. ADDRESSES: Submit written objections to Jaclyn Lauren Williams, Technology Business Specialist, 2510 Fifth Street, Bldg. 840, Room 413.30, WrightPatterson AFB, OH 45433; Phone: (702) 715–4402; or Email: jaclyn.williams.2@ us.af.mil. Include Docket No. ARH– 221221A–PL in the subject line of the message. FOR FURTHER INFORMATION CONTACT: Jaclyn Lauren Williams, Technology Business Specialist, 2510 Fifth Street, Bldg. 840, Room 413.30, WrightPatterson AFB, OH 45433; Phone: (702) 715–4402; or Email: jaclyn.williams.2@ us.af.mil. SUPPLEMENTARY INFORMATION: The Department of the Air Force intends to grant the partially exclusive patent license agreement for the invention described in: U.S. Patent No. 8,857,681 B2, entitled, ‘‘Load Carriage Connector and System,’’ filed March 8, 2013, and issued October 14, 2014. SUMMARY: E:\FR\FM\30AUN1.SGM 30AUN1

Agencies

[Federal Register Volume 88, Number 167 (Wednesday, August 30, 2023)]
[Notices]
[Pages 59877-59878]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-18710]



[[Page 59877]]

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COMMODITY FUTURES TRADING COMMISSION


Agency Information Collection Activities: Notice of Intent to 
Renew Collection 3038-0103, Ownership and Control Reports, Forms 102/
102S, 40/40S, and 71 (Trader and Account Identification Reports)

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 renewal of the 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 and to allow 60 days for public 
comment. This notice solicits comments in connection with information 
collection requirements under certain rules and related forms (the 
``final rules'') that the Commission adopted to enhance its 
identification of futures and swap market participants.

DATES: Comments must be submitted on or before October 30, 2023.

ADDRESSES: You may submit comments, identified by OMB Control No. 3038-
0103, by any of the following methods:
     CFTC Website: 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 of these methods and 
identify that it is for the renewal of Collection Number 3038-0103.

FOR FURTHER INFORMATION CONTACT: Chase Lindsey, Assistant Chief 
Counsel, Division of Market Oversight, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 
20581; (202) 740-4833; [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 before submitting the collection to OMB for approval. To 
comply with this requirement, the CFTC is publishing notice of the 
proposed collection of information listed below. An agency may not 
conduct or sponsor, and a person is not required to respond to, a 
collection of information unless it displays a currently valid OMB 
control number.
    Title: Ownership and Control Reports, Forms 102/102S, 40/40S, and 
71 (Trader and Account Identification Reports) (OMB Control No. 3038-
0103). This is a request for extension of a currently approved 
information collection.
    Abstract: The final rules \1\ created new information collection 
requirements via Sec. Sec.  17.01, 18.04, 18.05, and 20.5. 
Specifically, Sec.  17.01 provides for the filing of Form 102A, Form 
102B and Form 71, as follows:
---------------------------------------------------------------------------

    \1\ See Final Rule, Ownership and Control Reports, Forms 102/
102S, 40/40S, and 71, 78 FR 69178 (Nov. 18, 2013). Terms used herein 
and not otherwise defined herein shall have the meaning assigned to 
such terms in the final rules or in the Commission's regulations.
---------------------------------------------------------------------------

     Pursuant to Sec.  17.01(a), futures commission merchants 
(``FCMs''), clearing members, and foreign brokers shall identify new 
special accounts to the Commission on Form 102A;
     Pursuant to Sec.  17.01(b), clearing members shall 
identify volume threshold accounts to the Commission on Form 102B; and
     Pursuant to Sec.  17.01(c), omnibus volume threshold 
account originators and omnibus reportable sub-account originators 
shall identify reportable subaccounts to the Commission on Form 71 when 
requested via a special call by the Commission or its designee.
    Additional reporting requirements arise from Sec.  18.04, which 
results in the collection of information via Form 40 from and regarding 
traders who own, hold, or control reportable positions; volume 
threshold account controllers; persons who own volume threshold 
accounts; reportable sub-account controllers; and persons who own 
reportable sub-accounts.
    Reporting requirements also arise from Sec.  20.5(a), which 
requires all reporting entities to submit Form 102S for swap 
counterparty or customer consolidated accounts with reportable 
positions. In addition, Sec.  20.5(b) requires every person subject to 
books or records under current Sec.  20.6 to complete a 40S filing 
after a special call upon such person by the Commission.
    In addition to the reporting requirements summarized above, Sec.  
18.05 imposes recordkeeping requirements upon: (1) Traders who own, 
hold, or control a reportable futures or options on futures position; 
(2) volume threshold account controllers; (3) persons who own volume 
threshold accounts; (4) reportable sub-account controllers; and (5) 
persons who own reportable subaccounts.
    With respect to the collection of information, the CFTC invites 
comments on:
     Whether the proposed collection of information is 
necessary for the proper performance of the functions of the 
Commission, including whether the information will have a practical 
use;
     The accuracy of the Commission's estimate of the burden of 
the proposed collection of information, including the validity of the 
methodology and assumptions used;
     Ways to enhance the quality, usefulness, and clarity of 
the information to be collected; and
     Ways to minimize the burden of collection of information 
on those who are to respond, including through the use of appropriate 
automated electronic, mechanical, or other technological collection 
techniques or other forms of information technology, e.g., permitting 
electronic submission of responses.
    All comments must be submitted in English, or if not, accompanied 
by an English translation. Comments will be posted as received to 
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 Sec.  145.9 of the Commission's regulations.\2\
---------------------------------------------------------------------------

    \2\ 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 Information Collection Request will be retained in 
the public

[[Page 59878]]

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 estimates the burden of this 
collection of information as follows:
    Estimated Number of Respondents: 1,779.
    Estimated Average Burden Hours per Respondent: 102.
    Estimated Total Annual Burden Hours: 188,980.
    Frequency of Collection: On occasion.

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

    Dated: August 25, 2023.
Christopher Kirkpatrick,
Secretary of the Commission.
[FR Doc. 2023-18710 Filed 8-29-23; 8:45 am]
BILLING CODE 6351-01-P
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