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  • [Federal Register Volume 79, Number 129 (Monday, July 7, 2014)]


    [Pages 38283-38284]

    From the Federal Register Online via the Government Printing Office []

    [FR Doc No: 2014-15729]




    Agency Information Collection Activities: Notice of Intent To

    Renew Collection 3038-0082--Whistleblower Provision and Updated Form

    TCR for Whistleblower Submissions

    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 (``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 August 2011, the Commission

    adopted the final rule, as required by the Wall Street Reform and

    Consumer Protection Act (``Dodd-Frank Act''), requiring the submission

    of whistleblower information to the Commission on the Form TCR. The

    Commission is updating the Form TCR to incorporate questions from the

    Division of Enforcement's Complaint Form. This notice solicits

    comments, as described below, on the proposed Information Collection

    Request (ICR) titled: Whistleblower Provision, and Updated Form TCR;

    OMB Control Number 3038-0082.

    DATES: Comments must be submitted on or before September 5, 2014.

    ADDRESSES: You may submit comments, identified by ``Whistleblower

    Provision and Updated Form TCR,'' by any of the following methods:

    Agency Web Site, Via Its Comments Online Process: Follow the instructions for submitting comments

    through the Web site.

    Mail: 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.

    Federal eRulemaking Portal: Follow the instructions for submitting comments

    through the Portal.

    Please submit your comments using only one method.

    FOR FURTHER INFORMATION CONTACT: Eduardo Martinez, Attorney,

    Whistleblower Office, Commodity Futures Trading Commission, (202) 418-

    5979; email:

    SUPPLEMENTARY INFORMATION: Under the PRA, 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.

    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


    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

    [[Page 38284]]

    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 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.\1\


    \1\ 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 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.

    Whistleblower Provision and Updated Form TCR for Whistleblower

    Submissions, OMB Control Number 3038-0082--Extension

    Abstract: 17 CFR 165.3(a) requires the submission of information to

    the Commission on a Form TCR. The Form TCR, ``Tip, Complaint, or

    Referral,'' and the instructions thereto, are designed to capture basic

    identifying information about a complainant and elicit sufficient

    information to determine whether the conduct alleged suggests a

    violation of the Commodity Exchange Act. The Commission has updated the

    questions asked on the Form TCR to be more specific and detailed.

    Burden Statement: The respondent burden for this collection is

    estimated to be .5 hours per response.

    Respondents/Affected Entities: Individuals.

    Estimated Number of Respondents: 250 per year.

    Estimated Total Annual Burden on Respondents: 125 hours.

    Frequency of Collection: Once.

    Dated: June 30, 2014.

    Christopher J. Kirkpatrick,

    Acting Secretary of the Commission.

    [FR Doc. 2014-15729 Filed 7-3-14; 8:45 am]

    BILLING CODE 6351-01-P

    Last Updated: July 7, 2014