[Federal Register Volume 79, Number 241 (Tuesday, December 16, 2014)]
[Pages 74712-74713]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-29442]



Agency Information Collection Activities: Notice of Intent To 
Renew Collection 3038-0023, Commodity Pool Operators and Commodity 
Trading Advisors: Amendments to Compliance Obligations

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice.


SUMMARY: The Commodity Futures Trading Commission (``Commission'' or 
``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. This notice solicits comments on the continued registration 
requirements relating to commodity pool operators and commodity trading 

DATES: Comments must be submitted on or before February 17, 2015.

ADDRESSES: You may submit comments, identified by ``Commodity Pool 
Operators and Commodity Trading Advisors: Amendments to Compliance 
Obligations'' by any of the following methods:
     The Agency's Web site, at http://comments.cftc.gov. Follow 
the instructions for submitting comments through the Web site.
     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.
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the

[[Page 74713]]

instructions for submitting comments through the Portal.
    Please submit your comments using only one method.

FOR FURTHER INFORMATION CONTACT: Amanda Olear, Associate Director, 
Division of Swap Dealer and Intermediary Oversight, Commodity Futures 
Trading Commission, 1155 21st Street NW., Washington, DC 20581; (202) 
418-5283; email: [email protected], and refer to OMB Control No. 3038-

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 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.
    Title: ``Commodity Pool Operators and Commodity Trading Advisors: 
Amendments to Compliance Obligations,'' (OMB Control No. 3038-0023). 
This is a request for extension of a currently approved information 
    Abstract: Pursuant to the Commodity Exchange Act, as amended by the 
Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank 
Act''), Public Law 111-203, 124 Stat. 1376 (2010), the CFTC promulgated 
rules and forms relating to registration with the Commission applicable 
to intermediaries, and employees and principals thereof, operating in 
the futures, options, swaps, and retail forex markets. There were no 
new requirements imposed; however, due to amendments to the Commodity 
Exchange Act made by the Dodd-Frank Act, there was an increase in 
registrants in certain registration categories.
    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 
     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 
http://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.\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 http://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 0.09 hours per response.
    Respondents/Affected Entities: Futures Commission Merchants, 
Introducing Brokers, Commodity Pool Operators, Commodity Trading 
Advisors, Associated Persons, Retail Foreign Exchange Dealers.
    Estimated number of respondents: 77,857.
    Estimated total annual burden on respondents: 7,029.8 hours.
    Frequency of collection: Periodically.

    Authority: 44 U.S.C. 3501 et seq.

    Dated: December 11, 2014.
Christopher J. Kirkpatrick,
Secretary of the Commission.
[FR Doc. 2014-29442 Filed 12-15-14; 8:45 am]