Federal Register, Volume 86 Issue 160 (Monday, August 23, 2021)  
[Federal Register Volume 86, Number 160 (Monday, August 23, 2021)]
[Pages 47087-47088]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-18079]



Agency Information Collection Activities: Notice of Intent To 
Renew Collection 3038-0033, Notification of Pending Legal Proceedings

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice.


SUMMARY: The Commodity Futures Trading Commission (``CFTC'' or 
``Commission'') is announcing an opportunity for public comments on the 
proposed extension of a 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 information 
collection requirements concerning notification of pending legal 

DATES: Comments must be submitted on or before October 22, 2021.

ADDRESSES: You may submit comments, identified by OMB Control No. 3038-
0033 by any of the following methods:
     The Agency's website, at http://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.
     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 http://www.cftc.gov.

FOR FURTHER INFORMATION CONTACT: Melissa Chiang, Senior Assistant 
General Counsel, Office of the General Counsel, Commodity Futures 
Trading Commission, (202) 418-5578; email: [email protected].

SUPPLEMENTARY INFORMATION: Under the PRA, 44 U.S.C. 3501 et seq., 

[[Page 47088]]

agencies must obtain approval from the Office of Management and Budget 
(OMB) for each collection of information that 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. An agency may not 
conduct or sponsor, and a person is not required to respond to, a 
collection of information unless it displays a valid OMB control 
number. To comply with this requirement, the CFTC is publishing notice 
of the proposed extension of an existing collection of information 
listed below.
    Title: Notification of Pending Legal Proceedings Pursuant to 17 CFR 
1.60 (OMB Control Number 3038-0033). This is a request for extension of 
a currently approved information collection.
    Abstract: The rule is designed to assist the Commission in 
monitoring legal proceedings involving the responsibilities imposed on 
designated contract markets (DCMs) and their officials and futures 
commission merchants (FCMs) and their principals by the Commodity 
Exchange Act, and is applicable to swap execution facilities (SEFs) 
through 17 CFR 37.2. This renewal updates the total requested burden 
based on available reported data.
    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 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 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 Information Collection Request will be retained in 
the public comment file and will be considered as required under the 
Administrative Procedures Act and other applicable laws, and may be 
accessible under the Freedom of Information Act.
    Burden Statement: The annual respondent burden for this collection 
during the renewal period is estimated to be as follows:
    Estimated Number of Annual Respondents: 97.
    Estimated Average Annual Burden Hours per Respondent: .25.
    Estimated Total Annual Burden Hours: 24.25.
    Frequency of Collection: As needed.
    There are no capital costs or operating costs or maintenance costs 
associated with this collection.

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

    Dated: August 18, 2021.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2021-18079 Filed 8-20-21; 8:45 am]