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###### Commodity Futures Trading Commission

# 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 burden.

# DATES:

Comments must be submitted on or before November 24, 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 Submission” page. A copy of the supporting statement for the collection of information discussed herein may be obtained by visiting                         *https://www.reginfo.gov/​public/​do/​PRAMain.*

                        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 (the “Commission” or “CFTC”) by clicking on the “Submit Comment” box next to the descriptive entry for OMB Control No. 3038-0059, 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. Comments submitted to the Commission should include 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                               ( print page 73007)                            to the procedures established in § 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 the Freedom of Information Act.                    

# FOR FURTHER INFORMATION CONTACT:

                        Andrew Stein, Assistant Chief Counsel, Division of Market Oversight, Commodity Futures Trading Commission, (202) 418-6054, email:                         *astein@cftc.gov,*                         and refer to OMB Control No. 3038-0059.                    

# SUPPLEMENTARY INFORMATION:

*Title:*                     Part 41 Relating to Security Futures Products (OMB Control No. 3038-0059). This is a request for extension of a currently approved information collection.                

*Abstract:*                     Section 4d(c) of the Commodity Exchange Act (“CEA”), 7 U.S.C. 6d(c), requires the CFTC to consult with the Securities and Exchange Commission (“SEC”) and issue such rules, regulations, or orders as are necessary to avoid duplicative or conflicting regulations applicable to firms that are fully registered with the SEC as brokers or dealers and the CFTC as futures commission merchants, involving provisions of the CEA that pertain to the treatment of customer funds. The CFTC, jointly with the SEC, issued regulations requiring such dually-registered firms to make choices as to how its customers' transactions in security futures products will be treated, either as securities transactions held in a securities account or as futures transactions held in a futures account. How an account is treated is important in the unlikely event of the insolvency of the firm. Only securities accounts receive insurance protection under provisions of the Securities Investor Protection Act. By contrast, only futures accounts are subject to the protections provided by the segregation requirements of the CEA.                

                    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.[2]                                          The                     **Federal Register**                     notice with a 60-day comment period soliciting comments on this collection of information was published on August 9, 2023 (88 FR 53871). The Commission did not receive any relevant comments pursuant to the 60-Day Notice.                

*Burden Statement:*                     The respondent burden for this collection is estimated to average .9 hours per response. This estimate includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; and transmit or otherwise disclose the information.                

*Affected Entities:*                     Entities potentially affected by this action are businesses and other for-profit institutions.                

*Respondents/Affected Entities:*                     9.                

*Estimated average burden hours per respondent:*                     52 hours (rounded).                

*Estimated total annual burden on respondents:*                     467 hours.                

*Frequency of collection:*                     On occasion.                

There are no capital costs or operating and maintenance costs associated with this collection.

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

Dated: October 18, 2023.

Robert Sidman,

Deputy Secretary of the Commission.

# Footnotes

1.                                 17 CFR 145.9.                        
        Back to Citation      

2.                             44 U.S.C. 3512, 5 CFR 1320.5(b)(2)(i) and 1320.8 (b)(3)(vi).                    
        Back to Citation      

[FR Doc. 2023-23399 Filed 10-23-23; 8:45 am]

BILLING CODE 6351-01-P