Skip to Content


Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0082-Whistleblower Provision and Updated Form TCR for Whistleblower Submissions

Document Details

Information about this document as published in the Federal Register.

Document Statistics
Document page views are updated periodically throughout the day and are cumulative counts for this document including its time on Public Inspection. Counts are subject to sampling, reprocessing and revision (up or down) throughout the day.
Published Document

This document has been published in the Federal Register. Use the PDF linked in the document sidebar for the official electronic format.

Start Preamble


Commodity Futures Trading Commission.




The Commodity Futures Trading Commission (CFTC) is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act (“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. In August 2011, the Commission adopted the final rule, as required by the Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), requiring the submission of whistleblower information to the Commission on the Form TCR. The Commission is updating the Form TCR to incorporate questions from the Division of Enforcement's Complaint Form. This notice solicits comments, as described below, on the proposed Information Collection Request (ICR) titled: Whistleblower Provision, and Updated Form TCR; OMB Control Number 3038-0082.


Comments must be submitted on or before September 5, 2014.


You may submit comments, identified by “Whistleblower Provision and Updated Form TCR,” by any of the following methods:

  • Agency Web Site, Via Its Comments Online Process: Follow the instructions for submitting comments through the Web site.
  • Mail: 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.
  • Federal eRulemaking Portal:​search/​index.jsp. Follow the instructions for submitting comments through the Portal.

Please submit your comments using only one method.

Start Further Info


Eduardo Martinez, Attorney, Whistleblower Office, Commodity Futures Trading Commission, (202) 418-5979; email:

End Further Info End Preamble Start Supplemental Information


Under the PRA, 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 CFTC is publishing notice of the proposed collection of information listed below.

With respect to the following collection of information, the CFTC 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 use;
  • 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 Start Printed Page 38284are to respond, including through the use of appropriate automated electronic, mechanical, or other technological collection techniques or other forms of information technology; e.g., permitting electronic submission of responses.

All comments must be submitted in English, or if not, accompanied by an English translation. Comments will be posted as received to 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 § 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 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.

Whistleblower Provision and Updated Form TCR for Whistleblower Submissions, OMB Control Number 3038-0082—Extension

Abstract: 17 CFR 165.3(a) requires the submission of information to the Commission on a Form TCR. The Form TCR, “Tip, Complaint, or Referral,” and the instructions thereto, are designed to capture basic identifying information about a complainant and elicit sufficient information to determine whether the conduct alleged suggests a violation of the Commodity Exchange Act. The Commission has updated the questions asked on the Form TCR to be more specific and detailed.

Burden Statement: The respondent burden for this collection is estimated to be .5 hours per response.

Respondents/Affected Entities: Individuals.

Estimated Number of Respondents: 250 per year.

Estimated Total Annual Burden on Respondents: 125 hours.

Frequency of Collection: Once.

Start Signature

Dated: June 30, 2014.

Christopher J. Kirkpatrick,

Acting Secretary of the Commission.

End Signature End Supplemental Information


[FR Doc. 2014-15729 Filed 7-3-14; 8:45 am]