[Federal Register Volume 88, Number 82 (Friday, April 28, 2023)]
[Pages 26279-26280]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-09057]



Agency Information Collection Activities: Notice of Intent To 
Renew Collection 3038-0072, Registration of Swap Dealers and Major Swap 

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 a collection of certain information by the agency. 
Under the Paperwork Reduction Act of 1995 (``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 extension of 
information collection requirements relating to registration under the 
Commodity Exchange Act, OMB Control No. 3038-0072 (Registration of Swap 
Dealers and Major Swap Participants).

DATES: Comments must be submitted on or before June 27, 2023.

ADDRESSES: You may submit comments, identified by ``Registration of 
Swap Dealers and Major Swap Participants,'' Collection Number 3038-
0072, by any of the following methods:
     The Agency's website, at 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 method. 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.

FOR FURTHER INFORMATION CONTACT: Christopher W. Cummings, Market 
Participants Division, Commodity Futures Trading Commission, (202) 418-
5445 or [email protected], and refer to OMB Control No. 3038-0072.

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(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 Commission 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.\1\

    \1\ 44 U.S.C. 3512, 5 CFR 1320.5(b)(2)(i) and 1320.8 (b)(3)(vi).

    Title: Registration under the Commodity Exchange Act (OMB Control 
No. 3038-0072). This is a request for an extension of a currently 
approved information collection.
    Abstract: The information collected under OMB Control No. 3038-0072 
is gathered through the use of forms for registration of swap dealers 
and major swap participants. Swap dealers and major swap participants 
are required by Section 4s(a) of the Commodity Exchange Act (``CEA'') 
(7 U.S.C. 6s(a)) to register with the Commission. The CFTC uses various 
forms for registration (and withdrawal therefrom) (the ``Registration 
Forms''). OMB Control No. 3038-0072 applies to the Registration Forms 
for registration of swap dealers and major swap participants,\2\ to the 
alternative method provided under Commission regulations to submission 
of a fingerprint card for foreign natural persons; and to the process 
for requesting cross-border comparability determinations for 
substituted compliance with requirements otherwise applicable to swap 
dealers and major swap participants.

    \2\ Forms for registration of futures commission merchants, 
commodity pool operators, commodity trading advisors, retail foreign 
exchange dealers, introducing brokers, associated persons, floor 
traders, and floor brokers are the subject of a separate information 
collection (OMB Control Number 3038-0023).

    With respect to the collection of information, the Commission 
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 
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.\3\

    \3\ 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

[[Page 26280]]

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 Procedure Act and 
other applicable laws, and may be accessible under the Freedom of 
Information Act.
    Burden Statement: The Commission continues to estimate the burden 
for this collection as described below.
    Respondents/Affected Entities: Users of Commission registration 
forms that are swap dealers and major swap participants.
    Estimated Number of Respondents: 779.
    Estimated Average Burden Hours per Respondent: 1.14 hours.
    Estimated Total Annual Burden on Respondents: 888 hours.
    Frequency of Responses: Periodically.
    There are no capital costs or operating and maintenance costs 
associated with this collection.

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

    Dated: April 25, 2023.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2023-09057 Filed 4-27-23; 8:45 am]