Information Collection Request (ICR) Tracker

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Rule 17h-1T requires a broker-dealer to maintain and preserve records regarding the financial and securities activities, and other information concerning the holding company, affiliates and subsidiaries of the broker-dealer that are reasonably likely to have a material impact on the financial or operational condition of the broker-dealer. Rule 17h-2T requires a broker-dealer to file with the Commission quarterly reports and a cumulative year-end report concerning the information required to be maintained and preserved under Rule 17h-1T.

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This information collection concerns the documentation submitted by State agencies requesting FNS authorization to operate disaster supplemental nutrition assistance programs (DSNAP) for victims of disaster; once these DSNAP State agencies are up and running they can request to expand and modify to increase their parameters to operate in other area declared a disaster. 83, Number 169, Page 44258

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Federal Register Notices

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The Census of Fatal Occupational Injuries provides policymakers and the public with comprehensive, verifiable, and timely measures of fatal work injuries. Data are compiled from various sources including Federal, State, and local governments, the private sector and individuals and include information on how the incident occurred as well as various characteristics of the employers and the deceased worker. This information is used for surveillance of fatal work injuries and for developing prevention strategies.

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This regulation provides guidance concerning the costs subject to the enhanced oil recovery credit, the circumstances under which the credit is available, and procedures for certifying to the Internal Revenue Service that a project meets the requirements of section 43(c) of the Internal Revenue Code. Owners of operating mineral interests use Form 8830 to claim the enhanced oil recovery credit, a part of the general business credit.

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The Junior Reserve Officer’s Training Corps (JROTC) and the National Defense Cadet Corps (NDCC) are citizenship programs designed to motivate young people to be better citizens. The programs provide unique education opportunities for young citizens through their participation in a Federally sponsored curriculum while pursuing their civilian education. Students develop citizenship, leadership, communication skills, an understanding of the role of the U.S. army in support of national objectives, and an appreciation for the importance of physical fitness. Educational institutions that desire to host a JROTC or NDCC unit may apply using DA Form 3126 and 3126-1, respectively. The DA Form 918B is used by hosting institutions to amend or cancel existing contracts for JROTC or NDCC programs, as well as Senior ROTC programs authorized under 10 U.S.C. 103.

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Information is necessary to determine eligibility of medical devices for establishment of additional device categories for payment under transitional pass-through payment provisions as required by section 1833(t)(6) of the Social Security Act.

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Cargo Manifest/Declaration, Stow Plan, Container Status Messages and Importer Security Filing is essential to CBP for the control of cargo and for pre-arrival targeting of shipments for enforcement examination purposes.

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Section 2003 of the SUPPORT for Patients and Communities Act of 2018 requires that prescribing of a Schedule II, III, IV, or V controlled substance under Medicare Part D be done electronically in accordance with an electronic prescription drug program beginning January 1, 2021, subject to any exceptions, which HHS may specify. In the calendar year (CY) 2021 and 2022 Physician Fee Schedule (PFS) final rules, CMS finalized the electronic prescribing for controlled substances (EPCS) requirements and exceptions at 42 CFR 423.160(a)(5). Compliance for prescribers not in long-term care facilities begins in CY 2023. Compliance for prescribers in long-term care facilities begins in CY 2025. EPCS requirements do not require prescribers or pharmacies to submit additional data to CMS; however, CMS did finalize one exception that requires data collection. The EPCS exception, at § 423.160(a)(5)(iv), requires a prescriber to apply for a waiver if the prescriber is unable to conduct EPCS due to circumstances beyond the prescriber's control. This document covers the burden associated for the request for the waiver exclusion at § 423.160(a)(5)(iv).

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Federal Register Notices

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Rule 15c3-5 would require brokers or dealers with access to trading directly on an exchange or ATS, including those providing sponsored or direct market access to customers or other persons, to implement risk management controls and supervisory procedures designed to manage the financial, regulatory, and other risks of this business activity. Specifically, Rule 15c3-5 would require that brokers or dealers with access to trading securities on an exchange or ATS, as a result of being a member or subscriber thereof, establish, document, and maintain a system of risk management controls and supervisory procedures that, among other things, are reasonably designed to (1) systematically limit the financial exposure of the broker or dealer that could arise as a result of market access, and (2) ensure compliance with all regulatory requirements that are applicable in connection with market access. Each such broker or dealer would be required to preserve a copy of its supervisory procedures and a written description of its risk management controls as part of its books and records in a manner consistent with Rule 17a-4(e)(7) under the Exchange Act. The financial and regulatory risk management controls and supervisory procedures required by Rule 15c3-5 generally must be under the direct and exclusive control of the broker or dealer with market access. Broker-dealers with market access are permitted to reasonably allocate certain required risk management controls and supervisory procedures to other broker-dealers that are participants in a particular market access arrangement. Regardless of how the risk management controls and supervisory procedures are allocated to other parties, the Rule affirms that the broker-dealer providing market access retains the ultimate responsibility over its market access business activity. In addition, a broker or dealer with market access would be required to establish, document, and maintain a system for regularly reviewing the effectiveness of the risk management controls and supervisory procedures and for promptly addressing any issues. Among other things, the broker or dealer would be required to review, no less frequently than annually, the business activity of the broker or dealer in connection with market access to assure the overall effectiveness of such risk management controls and supervisory procedures and document that review. Such review would be required to be conducted in accordance with written procedures and would be required to be documented. The broker or dealer would be required to preserve a copy of such written procedures, and documentation of each such review, as part of its books and records in a manner consistent with Rule 17a-4(e)(7) under the Exchange Act, and Rule 17a-4(b) under the Exchange Act, respectively. In addition, the Chief Executive Officer (or equivalent officer) of the broker or dealer would be required, on an annual basis, to certify that the risk management controls and supervisory procedures comply with Rule 15c3-5, and that the regular review described above has been conducted. Such certifications would be required to be preserved by the broker or dealer as part of its books and records in a manner consistent with Rule 17a-4(b) under the Exchange Act.

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This Paperwork Reduction Act (PRA) submission seeks renewal without changes of Office of Management and Budget (OMB) approval No. 2900-0422 for five collections of information for the Department of Veterans Affairs Acquisition Regulation (VAAR) clauses, as follows: • Clause 852.232-70, Payment Under Fixed-Price Construction Contracts (without NAS-CPM), requires construction contractors, without NAS-CPM, to submit a schedule of costs for work to be performed under the contract. • Clause 852.232-71, Payment Under Fixed-Price Construction Contracts (including NAS-CPM), requires construction contractors, including NAS-CPM, to submit a schedule of costs for work to be performed under the contract. • Clause 852.236-72, Performance of Work by the Contractor, , requires contractors awarded a construction contract containing Federal Acquisition Regulation (FAR) clause 52.236-1, Performance of Work by the Contractor, to submit a statement designating the branch or branches of contract work to be performed by the contractor’s own forces. • Clause 852.236-80, Subcontracts and Work Coordination, requires construction contractors, on contracts involving complex mechanical-electrical work, to furnish coordination drawings showing the manner in which utility lines will fit into available space and relate to each other and to the existing building elements. • Clause 852.243-70, Construction Contract Changes-Supplement, requires contractors to submit cost proposals for changes ordered by the contracting officer or for changes proposed by the contractor.

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This Paperwork Reduction Act (PRA) submission seeks an extension of Office of Management and Budget (OMB) approval No. 2900-0586 for collection of information for both commercial and non-commercial item, service, and construction solicitations and contracts using VAAR Clause 852.211-72, Technical Industry Standards, as prescribed in CFR Title 48, Federal Acquisition Regulations System, VAAR 811.204-70, Contract clause. VAAR clause 852.211-72, Technical Industry Standards, requires that items offered for sale to VA under the solicitation conform to certain technical industry standards, such as United States Department of Agriculture (USDA) or the USDA Institutional Meat Purchase Specifications (IMPS) and that the contractor furnish evidence to VA that the items meet that requirement. The evidence is normally in the form of a tag or seal affixed to the item, such as a label on beef product. In most cases, this requires no additional effort on the part of the contractor, as the items come from the factory with the tags already in place, as part of the manufacturer's standard manufacturing operation. Occasionally, for items not already meeting standards or for items not previously tested, a contractor will have to furnish a certificate from an acceptable laboratory certifying that the items furnished have been tested in accordance with, and conform to, the specified standards. Only firms whose products have not previously been tested to ensure the products meet the industry standards required under the solicitation and contract will be required to submit a separate certificate. The information will be used to ensure that the items being purchased meet minimum safety standards and to protect VA employees, VA beneficiaries, and the public.

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Federal Register Notices

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The CFTC requests approval for an extension of OMB approval of the information collections associated with the Process for a Swap Execution Facility or Designated Contract Market to Make a Swap Available to Trade. The Commission’s regulations establish a process for swap execution facilities and designated contract markets to make a swap “available to trade” for purposes of the trade execution requirement. The regulations require swap execution facilities and designated contract markets to consider certain factors when determining whether to make a swap “available to trade,” and under §§ 37.10(a) or 38.12(a) of the Commission’s regulations, a swap execution facility or designated contract market, respectively, would submit its determination to the Commission pursuant to the rule filing procedures of part 40 of the Commission’s regulations. Sections 40.5 and 40.6 of the Commission’s regulations establish the procedures for swap execution facilities and designated contract markets to submit rule filings to the Commission. In connection with this rule filing, a swap execution facility and designated contract market must provide an explanation and analysis of the submission and its compliance with statutory provisions of the Act. This explanation and analysis is necessary for the Commission to approve or certify a swap execution facility’s or designated contract market’s “available to trade” determination before the swap would be subject to the trade execution requirement (i.e., be required to trade only on a swap execution facility or designated contract market). Without this collection of information, certain swaps may inappropriately be subject to the trade execution requirement. In addition, this process allows the Commission to provide market participants with notice as to which swaps are subject to the trade execution requirement.

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The CFTC requests approval of its request to extend OMB approval of the information collection requirements associated with the Commission's rules under Part 162 - Protection of Consumer Information under the Fair Credit Reporting Act ("FCRA"). Title X of the Dodd-Frank Act, which is titled the Consumer Financial Protection Act of 2010 (“CFP Act”), amends a number of federal consumer protection laws enacted prior to the Dodd-Frank Act including, in relevant part, the FCRA and the Fair and Accurate Credit Transactions Act of 2003 (“FACT Act”). Specifically, Section 1088 of the CFP Act sets out certain amendments to the FCRA and the FACT Act directing the Commission to promulgate regulations that are intended to provide privacy protections to certain consumer information held by an entity that is subject to the jurisdiction of the Commission. Section 1088 amends section 214(b) of the FACT Act—which added section 624 to the FCRA in 2003—and directs the Commission to implement the provisions of section 624 of the FCRA with respect to persons that are subject to the Commission’s enforcement jurisdiction. Section 624 of the FCRA gives a consumer the right to block affiliates of an entity subject to the Commission’s jurisdiction from using certain information obtained from such entity to make solicitations to that consumer (hereinafter referred to as the “affiliate marketing rules”). Under the affiliate marketing rules, the entities covered by the regulations are expected to prepare and provide clear, conspicuous and concise opt-out notices to any consumers with whom such entities have a pre-existing business relationship. A covered entity only has to provide an opt-out notice to the extent that an affiliate of the covered entity plans to make a solicitation to any of the covered entity’s consumers. A covered entity is required to send opt-out notices at the maximum of once every five years. Section 1088 of the CFP Act also amends section 628 of the FCRA and mandates that the Commission implement regulations requiring persons subject to the Commission’s jurisdiction who possess or maintain consumer report information in connection with their business activities to properly dispose of that information (hereinafter referred to as the “disposal rules”). Under the disposal rules, the entities covered by the regulations are expected to develop and implement a written disposal plan with respect to any consumer information within such entities’ possession. The regulations provide that a covered entity develop a written disposal plan that is tailored to the size and complexity of such entity’s business. The purpose of the written disposal plan is to establish a formal plan for the disposal of nonpublic, consumer information, which otherwise could be illegally confiscated and used by unauthorized third parties. Under the rules, a covered entity is required to develop a written disposal plan only once, but may subsequently amend such plan from time to time. In addition, Section 1088 of the CFP Act amended the FCRA by adding the CFTC and the Securities and Exchange Commission (“SEC,” together with the CFTC, the “Commissions”) to the list of federal agencies required to jointly prescribe and enforce identity theft red flags rules and guidelines and card issuer rules. Under the identity theft rules, entities covered by the regulation are required to develop and implement reasonable policies and procedures to identify, detect, and respond to relevant red flags for identity theft that are appropriate to the size and complexity of such entity’s business and, in the case of entities that issue credit or debit cards, to assess the validity of, and communicate with cardholders regarding address changes. They are also required to provide for the continued administration of identity theft policies and procedures.

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The CFTC requests approval for the extension of the information collections associated with Commission Rule 21.02 (17 CFR 21.02), relating to Market Surveys. Under Commission Rule 21.02, upon call by the Commission, information related to futures or options positions held or introduced by futures commission merchants, members of contract markets, introducing brokers, and foreign brokers and, for options positions, must be furnished by each reporting market. This rule is designed to assist the Commission in prevention of market manipulation and is promulgated pursuant to the Commission’s rulemaking authority contained in section 8a of the Commodity Exchange Act, 7 U.S.C. 12 a (2010). The information is used primarily by Surveillance and Market Analysts in order to fulfill their market surveillance function. Additionally, the data is used to provide a basis for reports to Congress as well as supporting various research projects and reports from Commission economists and analysts.

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Federal Register Notices

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The CFTC requests approval of its request to extend the information collections associated with the agency's rules governing Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements. These collections of information implement section 4s(e) of the Commodity Exchange Act ("CEA"), which mandates that the Commission adopt rules establishing margin requirements for uncleared swaps of swap dealers ("SDs") and major swap participants ("MSPs") that do not have a Prudential Regulator (collectively, "Covered Swap Entities" or "CSEs"), and section 2(i) of the CEA, which provides the Commission with express authority over swaps activities in cross-border transactions when certain conditions are met. The Commission uses the information collected to determine whether the foreign jurisdiction's margin rules for uncleared swaps are comparable to the Commission's corresponding margin requirements. Covered Swap Entities or CSEs that are eligible for substituted compliance under the Proposed Rule, as well as foreign regulatory agencies that have direct supervisory authority to administer the foreign jurisdiction's margin requirements for uncleared swaps in the requested foreign jurisdiction, may make a request for a comparability determination. Also, two information collections included in the final rule require CSEs to have policies and procedures ensuring that they are in compliance with all of the requirements of the special provisions for non-netting jurisdictions and non-segregation provisions, respectively, and to maintain books and records properly documenting that all of the requirements of the special provisions for non-netting jurisdictions and non-segregation jurisdictions, respectively, are satisfied. These two collections are necessary as a means for the Commission to be able to determine that CSEs relying on the non-netting jurisdictions and non-segregation provisions are entitled to do so and are complying with the special provisions’ requirements.

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Federal Register Notices

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The Federal Credit Union Act (at 12 U.S.C. 1761b(2)) requires that the boards of federal credit unions (FCU) arrange for adequate fidelity coverage for officers and employees having custody of or responsibility for handling funds. The regulation contains a number of reporting requirements where a credit union seeks to exercise flexibility under the regulations. These requirements enable NCUA to monitor the FCU’s financial condition for safety and soundness purposes and helps to assure that FCUs are properly and adequately protected against potential losses due to insider abuse such as fraud and embezzlement.

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The Department seeks an extension without change of a fast track generic clearance information collection request already approved by OMB. Existence of Fast Track option for conducting surveys has caused a sudden increase in number of surveys. OST has already used the 2000 burden hours previously approved. OST requests increasing the total burden hours to 60,000. This collection of information is necessary to enable OST program offices to garner customer and stakeholder feedback in an efficient, timely manner, in accordance with our commitment to improving service delivery. The information collected from our customers and stakeholders will help ensure that users have an effective, efficient, and satisfying experience with those program office's programs.

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Federal Register Notices

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The information furnished on this form refers to events that may have occurred since the applicant's initial interview and prior to the administration of the oath of allegiance. Several months may elapse between these dates and the information that is provided assists the officer to make and render an appropriate decision on the application.

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The Nuclear Regulatory Commission (NRC) regulations in part 150 of title 10 of the Code of Federal Regulations (10 CFR), provide certain exemptions to persons in Agreement States from the licensing requirements contained in Chapters 6, 7, and 8 of the Atomic Energy Act of 1954, as amended, and certain regulations of the Commission. The regulations in 10 CFR part 150 also define the Commission’s continued regulatory authority over Agreement State activities which include byproduct, source, and special nuclear material reporting requirements related to reciprocity and enforcement. 10 CFR part 150 requires telephonic notification to the NRC when an Agreement State licensee identifies attempted theft or diversion of special nuclear material, byproduct material, and tritium. This notification must be followed by a written report either 15 or 60 days after the initial report, depending on the materials involved. If additional information is available after submission of the written report, an additional report is submitted. These reports are used to inform the Commission, staff, and other Federal agencies when special nuclear material, byproduct material, or tritium is lost or stolen.