30-Day Federal Register Notice

khammond on DSKJM1Z7X2PROD with NOTICES

39504

Federal Register / Vol. 87, No. 126 / Friday, July 1, 2022 / Notices

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
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:
Andrew Chapin, Associate Chief
Counsel, Market Participants Division,
Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW, Washington, DC
20581; (202) 418–5465; email: achapin@
cftc.gov.
SUPPLEMENTARY INFORMATION:
Title: Reporting, Recordkeeping, and
Daily Trading Records Requirements for
Swap Dealers and Major Swap
Participants (OMB Control Nos. 3038–
0087). This is a request for an extension
of a currently approved information
collection.
Abstract: On April 3, 2012, the
Commission adopted Commission
regulations 23.201 through 23.205
(Reporting, Recordkeeping, and Daily
Trading Records Requirements For
Swap Dealers and Major Swap
Participants) 2 pursuant to sections
4s(f) 3 and 4s(g) 4 of the Commodity
Exchange Act (‘‘CEA’’).5 Commission
regulations 23.201 through 23.205
require, among other things, swap
dealers (‘‘SD’’) 6 and major swap
1 17

CFR 145.9.
CFR 23.201–23.205.
3 7 U.S.C. 6s(f).
4 7 U.S.C. 6s(g).
5 77 FR 20128.
6 For the definition of SD, see section 1a(49) of
the CEA and Commission regulation 1.3. 7 U.S.C.
1a(49) and 17 CFR 1.3.
2 17

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participants (‘‘MSP’’) 7 to maintain
transaction and position records of their
swaps (including daily trading records)
and to maintain specified business
records (including records related to the
governance and financial status of the
swap dealer or major swap participant,
complaints received by such SD or MSP
and such SD or MSP’s marketing and
sales materials). They also require SDs
and MSPs to report certain swap
transaction data to swap data
repositories, to satisfy certain real time
public reporting requirements, and to
maintain records of information
reported to swap data depositories and
for real time reporting purposes.8 The
Commission believes that the
information collection obligations
imposed by Commission regulations
23.201 through 23.205 are necessary to
implement sections 4s(f) and 4s(g) of the
CEA, including ensuring that each SD
and MSP maintains the required records
of their business activities and an audit
trail sufficient to conduct
comprehensive and accurate trade
reconstruction.
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 April 26, 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 24533 (‘‘60-Day Notice’’). The
Commission did not receive any
relevant comments on the 60-Day
Notice.
Burden Statement: The Commission
is revising its estimate of the burden for
this collection to reflect the current
number of respondents and estimated
burden hours. The respondent burden
for this collection is estimated to be as
follows:
Estimated Number of Respondents:
107.
Estimated Average Burden Hours per
Respondent: 2,096.
Estimated Total Annual Burden
Hours: 224,272.
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.)
7 For the definitions of MSP, see section 1a(33) of
the CEA and Commission regulation 1.3. 7 U.S.C.
1a(33) and 17 CFR 1.3.
8 See 17 CFR 23.201–23.205.

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Dated: June 27, 2022.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2022–14090 Filed 6–30–22; 8:45 am]
BILLING CODE 6351–01–P

COMMODITY FUTURES TRADING
COMMISSION
Agency Information Collection
Activities Under OMB Review
Commodity Futures Trading
Commission.
ACTION: Notice.
AGENCY:

In compliance with the
Paperwork Reduction Act of 1995
(‘‘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 August 1, 2022.
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. 3038–0080, 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,
SUMMARY:

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khammond on DSKJM1Z7X2PROD with NOTICES

Federal Register / Vol. 87, No. 126 / Friday, July 1, 2022 / Notices
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
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, Three Lafayette Centre,
1155 21st Street NW, Washington, DC
20581; (202) 418–5445; email:
[email protected].
SUPPLEMENTARY INFORMATION:
Title: Annual Report for Chief
Compliance Officer of Registrants (OMB
Control No. 3038–0080). This is a
request for an extension of a currently
approved information collection.
Abstract: On April 3, 2012, the
Commission adopted Regulation 3.3
(Chief Compliance Officer) 2 under
sections 4d(d) and 4s(k) 3 of the
Commodity Exchange Act (‘‘CEA’’).
Commission Regulation 3.3 requires
each futures commission merchant
(‘‘FCM’’), swap dealer (‘‘SD’’), and major
swap participant (‘‘MSP’’) to designate,
by filing a Form 8–R, a chief compliance
officer who is responsible for
developing and administering policies
and procedures that fulfill certain duties
of the SD, MSP, or FCM and that are
reasonably designed to ensure the
registrant’s compliance with the CEA
and Commission regulations;
establishing procedures for the
1 17

CFR 145.9.
CFR 3.3.
3 7 U.S.C. 6d(d) and 6s(k).
2 17

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17:03 Jun 30, 2022

remediation of noncompliance issues
identified by the chief compliance
officer; establishing procedures for the
handling, management response,
remediation, retesting, and closing of
noncompliance issues; preparing,
signing, certifying and filing with the
Commission an annual compliance
report that contains the information
specified in the regulations; amending
the annual report if material errors or
omissions are identified; and
maintaining records of the registrant’s
compliance policies and procedures and
records related to the annual report. The
information collection obligations
imposed by Commission Regulation 3.3
are essential to ensuring that FCMs,
SDs, and MSPs maintain comprehensive
policies and procedures that promote
compliance with the CEA and
Commission regulations. In particular,
the Commission believes that, among
other things, these obligations (i)
promote compliance behavior through
periodic self-evaluation, (ii) inform the
Commission of possible compliance
weaknesses, (iii) assist the Commission
in determining whether the registrant
remains in compliance with the CEA
and Commission regulations, and (iv)
help the Commission to assess whether
the registrant has mechanisms in place
to adequately address compliance
problems that could lead to a failure of
the registrant.
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 April 26, 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 24535 (‘‘60-Day Notice’’). The
Commission did not receive any
relevant comments on the 60-Day
Notice.
Burden Statement: The Commission
is revising its estimate of the burden for
this collection to reflect the current
number of respondents and estimated
burden hours. The respondent burden
for this collection is estimated to be as
follows:
Number of Registrants: 166.
Estimated Average Burden Hours per
Registrant: 1,006.
Estimated Aggregate Burden Hours:
166,966.
Frequency of Recordkeeping:
Annually or on occasion.
There are no capital costs or operating
and maintenance costs associated with
this collection.
(Authority: 44 U.S.C. 3501 et seq.)

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39505

Dated: June 27, 2022.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2022–14089 Filed 6–30–22; 8:45 am]
BILLING CODE 6351–01–P

COMMODITY FUTURES TRADING
COMMISSION
Agency Information Collection
Activities Under OMB Review
Commodity Futures Trading
Commission.
ACTION: Notice.
AGENCY:

In compliance with the
Paperwork Reduction Act of 1995
(‘‘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 August 1, 2022.
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. 3038–0024, 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,
SUMMARY:

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