39504 Federal Register / Vol. 87, No. 126 / Friday, July 1, 2022 / Notices 

1 17 CFR 145.9. 

2 17 CFR 23.201–23.205. 

3 7 U.S.C. 6s(f). 

4 7 U.S.C. 6s(g). 

5 77 FR 20128. 

6For the definition of SD, see section 1a(49) of 

the CEA and Commission regulation 1.3. 7 U.S.C. 

1a(49) and 17 CFR 1.3. 

7For the definitions of MSP, see section 1a(33) of 

the CEA and Commission regulation 1.3. 7 U.S.C. 

1a(33) and 17 CFR 1.3. 

8See 17 CFR 23.201–23.205. 

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 

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, prescreen, 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 Chapin, Associate Chief 

Counsel, Market Participants Division, 

Commodity Futures Trading 

Commission, Three Lafayette Centre, 

1155 21st Street NW, Washington, DC 

20581; (202) 418–5465; email: achapin@

cftc.gov. 

SUPPLEMENTARY INFORMATION: 

Title: Reporting, Recordkeeping, and 

Daily Trading Records Requirements for 

Swap Dealers and Major Swap 

Participants (OMB Control Nos. 3038– 

0087). This is a request for an extension 

of a currently approved information 

collection. 

Abstract: On April 3, 2012, the 

Commission adopted Commission 

regulations 23.201 through 23.205 

(Reporting, Recordkeeping, and Daily 

Trading Records Requirements For 

Swap Dealers and Major Swap 

Participants) 2 pursuant to sections 

4s(f) 3 and 4s(g) 4 of the Commodity 

Exchange Act (‘‘CEA’’).5 Commission 

regulations 23.201 through 23.205 

require, among other things, swap 

dealers (‘‘SD’’) 6 and major swap 

participants (‘‘MSP’’) 7 to maintain 

transaction and position records of their 

swaps (including daily trading records) 

and to maintain specified business 

records (including records related to the 

governance and financial status of the 

swap dealer or major swap participant, 

complaints received by such SD or MSP 

and such SD or MSP’s marketing and 

sales materials). They also require SDs 

and MSPs to report certain swap 

transaction data to swap data 

repositories, to satisfy certain real time 

public reporting requirements, and to 

maintain records of information 

reported to swap data depositories and 

for real time reporting purposes.8 The 

Commission believes that the 

information collection obligations 

imposed by Commission regulations 

23.201 through 23.205 are necessary to 

implement sections 4s(f) and 4s(g) of the 

CEA, including ensuring that each SD 

and MSP maintains the required records 

of their business activities and an audit 

trail sufficient to conduct 

comprehensive and accurate trade 

reconstruction. 

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 April 26, 2022, 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, 87 

FR 24533 (‘‘60-Day Notice’’). The 

Commission did not receive any 

relevant comments on the 60-Day 

Notice. 

Burden Statement: The Commission 

is revising its estimate of the burden for 

this collection to reflect the current 

number of respondents and estimated 

burden hours. The respondent burden 

for this collection is estimated to be as 

follows: 

Estimated Number of Respondents: 

107. 

Estimated Average Burden Hours per 

Respondent: 2,096. 

Estimated Total Annual Burden 

Hours: 224,272. 

Frequency of Collection: As 

applicable. 

There are no capital costs or operating 

and maintenance costs associated with 

this collection. 

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

Dated: June 27, 2022. 

Robert Sidman, 

Deputy Secretary of the Commission. 

[FR Doc. 2022–14090 Filed 6–30–22; 8:45 am] 

BILLING CODE 6351–01–P 

COMMODITY FUTURES TRADING 

COMMISSION 

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 burden. 

DATES: Comments must be submitted on 

or before August 1, 2022. 

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. 3038–0080, 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, 


khammond on DSKJM1Z7X2PROD with NOTICES
Federal Register / Vol. 87, No. 126 / Friday, July 1, 2022 / Notices 39505 

1 17 CFR 145.9. 

2 17 CFR 3.3. 

3 7 U.S.C. 6d(d) and 6s(k). 

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 

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, prescreen, 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: 

Christopher Cummings, Special 

Counsel, Market Participants Division, 

Commodity Futures Trading 

Commission, Three Lafayette Centre, 

1155 21st Street NW, Washington, DC 

20581; (202) 418–5445; email: 

ccummings@cftc.gov. 

SUPPLEMENTARY INFORMATION:

Title: Annual Report for Chief 

Compliance Officer of Registrants (OMB 

Control No. 3038–0080). This is a 

request for an extension of a currently 

approved information collection. 

Abstract: On April 3, 2012, the 

Commission adopted Regulation 3.3 

(Chief Compliance Officer) 2 under 

sections 4d(d) and 4s(k) 3 of the 

Commodity Exchange Act (‘‘CEA’’). 

Commission Regulation 3.3 requires 

each futures commission merchant 

(‘‘FCM’’), swap dealer (‘‘SD’’), and major 

swap participant (‘‘MSP’’) to designate, 

by filing a Form 8–R, a chief compliance 

officer who is responsible for 

developing and administering policies 

and procedures that fulfill certain duties 

of the SD, MSP, or FCM and that are 

reasonably designed to ensure the 

registrant’s compliance with the CEA 

and Commission regulations; 

establishing procedures for the 

remediation of noncompliance issues 

identified by the chief compliance 

officer; establishing procedures for the 

handling, management response, 

remediation, retesting, and closing of 

noncompliance issues; preparing, 

signing, certifying and filing with the 

Commission an annual compliance 

report that contains the information 

specified in the regulations; amending 

the annual report if material errors or 

omissions are identified; and 

maintaining records of the registrant’s 

compliance policies and procedures and 

records related to the annual report. The 

information collection obligations 

imposed by Commission Regulation 3.3 

are essential to ensuring that FCMs, 

SDs, and MSPs maintain comprehensive 

policies and procedures that promote 

compliance with the CEA and 

Commission regulations. In particular, 

the Commission believes that, among 

other things, these obligations (i) 

promote compliance behavior through 

periodic self-evaluation, (ii) inform the 

Commission of possible compliance 

weaknesses, (iii) assist the Commission 

in determining whether the registrant 

remains in compliance with the CEA 

and Commission regulations, and (iv) 

help the Commission to assess whether 

the registrant has mechanisms in place 

to adequately address compliance 

problems that could lead to a failure of 

the registrant. 

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 April 26, 2022, 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, 87 

FR 24535 (‘‘60-Day Notice’’). The 

Commission did not receive any 

relevant comments on the 60-Day 

Notice. 

Burden Statement: The Commission 

is revising its estimate of the burden for 

this collection to reflect the current 

number of respondents and estimated 

burden hours. The respondent burden 

for this collection is estimated to be as 

follows: 

Number of Registrants: 166. 

Estimated Average Burden Hours per 

Registrant: 1,006. 

Estimated Aggregate Burden Hours: 

166,966. 

Frequency of Recordkeeping: 

Annually or 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: June 27, 2022. 

Robert Sidman, 

Deputy Secretary of the Commission. 

[FR Doc. 2022–14089 Filed 6–30–22; 8:45 am] 

BILLING CODE 6351–01–P 

COMMODITY FUTURES TRADING 

COMMISSION 

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 burden. 

DATES: Comments must be submitted on 

or before August 1, 2022. 

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. 3038–0024, 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, 


khammond on DSKJM1Z7X2PROD with NOTICES