[Federal Register Volume 88, Number 184 (Monday, September 25, 2023)]
[Pages 65661-65662]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-20634]



Agency Information Collection Activities Under OMB Review

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice.


SUMMARY: 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 burdens.

DATES: Comments must be submitted on or before October 25, 2023.

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

[[Page 65662]]

Submission'' page. A copy of the supporting statement for the 
collection of information discussed herein may be obtained by visiting 
    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 (Commission or 
CFTC) by clicking on the ``Submit Comment'' box next to the descriptive 
entry for OMB Control No. 3038-0005, 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, 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. You should only submit 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 (FOIA), 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\ 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 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 FOIA.

    \1\ 17 CFR 145.9.

FOR FURTHER INFORMATION CONTACT: Amanda Olear, Director, (202) 418-
6700, [email protected]; Pamela Geraghty, Deputy Director, (202) 418-
5634, [email protected]; Peter Sanchez, Acting Associate Director, 
(202) 418-5237, [email protected]; or Elizabeth Groover, Special 
Counsel, (202) 418-5985, [email protected], Market Participants 
Division, Commodity Futures Trading Commission, 1155 21st Street NW, 
Washington, DC 20581, and refer to OMB Control No. 3038-0005.

    Title: Rules Relating to the Operations and Activities of Commodity 
Pool Operators and Commodity Trading Advisors and to Monthly Reporting 
by Futures Commission Merchants (OMB Control No. 3038-0005). This is a 
request for extension of a currently approved information collection.
    Abstract: The various collections of information required by part 4 
of the Commission's regulations were previously approved by OMB in 
accordance with the PRA and assigned OMB control number 3038-0005.\2\ 
The Commission offers the following summary of the renewal and the 
resulting impact on existing burden hour estimates associated with this 
information collection. The Commodity Exchange Act (CEA) empowers the 
Commission with the authority to require commodity pool operators 
(CPOs) and commodity trading advisors (CTAs) to maintain books and 
records and to file reports as required by the Commission.\3\ The 
Commission also has the power to promulgate such regulations as it 
deems necessary to implement the purposes of the CEA.\4\ It is pursuant 
to this authority that the Commission has promulgated the various 
compliance requirements for CPOs and CTAs in 17 CFR part 4. The 
reporting, filing, and recordkeeping requirements within part 4 of the 
Commission's regulations were adopted to assist and inform customers, 
to establish customer protection initiatives for investors, to 
facilitate monitoring intermediary compliance with part 4 regulations 
by the Commission and its delegee, the National Futures Association 
(NFA), and to enable the Commission to better monitor the market risks 
posed by its registrants. The information collections are necessary to 
enable the Commission and NFA to accomplish the purposes of both the 
CEA and the compliance regime set forth in part 4 of the Commission's 

    \2\ 17 CFR part 4.
    \3\ 7 U.S.C. 6m(3).
    \4\ 7 U.S.C. 8a(5).

    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 July 12, 2023, 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, 88 FR 44280 (60-Day Notice). The Commission did 
not receive any relevant substantive comments on the 60-Day Notice.
    Burden Statement: The respondent burden for this collection is 
estimated to be as follows:
    Respondents/Affected Entities: (1) All persons filing reports 
required by 17 CFR part 4, and (2) all principals of such persons.
    Estimated number of respondents: 49,083.
    Estimated number of exempt pools/reports per respondent: 8.8.
    Estimated total annual burden on respondents: 432,325 hours.

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

    Dated: September 19, 2023.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2023-20634 Filed 9-22-23; 8:45 am]