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Agency Information Collection Activities Under OMB Review

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 ...

PDF version FederalRegister.gov

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 June 15, 2026.

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 any of the following methods:

Regulations.gov: Go to https://www.regulations.gov and press the “Search” button, then proceed as follows:

1. Under Refine Documents Results—check the box to “Only show documents open for comment”;

2. Under Agency—select “See More” and check the box for “Commodity Futures Trading Commission,” then press the Apply button;

3. Identify this notice in the list of CFTC documents open for comment, press the “Comment” button to open the submission form, and follow the instructions on the form.

Alternatively, if you are viewing this notice on www.federalregister.gov, click the “Submit A Public Comment” button at the top of the page to open the comment form. Follow the instructions on the form to submit your comment to Regulations.gov.

Mail: Send to—Christopher Kirkpatrick, Secretary of the Commission, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581.
Hand Delivery/Courier: Address to—CFTC Comment Submission, Attn: Christopher Kirkpatrick, Secretary of the Commission, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581.

Please submit your comments using only one of these methods. To avoid possible delays with mail or in-person deliveries, submissions through Regulations.gov are encouraged.

All comments must be submitted in English or, if not, accompanied by an English translation. Do not include in your comment text or attachments any personal identifying information or business information that you do not want published online. Comments (regardless of submission method) will be published without review for, and without removal of, any personal identifying information or information your business may consider confidential.

If you wish to submit confidential information for the Commission's consideration, please contact the CFTC personnel listed in this Notice under FOR FURTHER INFORMATION CONTACT before making any submission. Please also carefully review the Commission's procedures in 17 CFR 145.9 for requesting confidential treatment under the Freedom of Information Act (FOIA) of information submitted to the Commission.

The CFTC reserves the right, but shall have no obligation, to review, pre-screen, filter, or redact all or any part of your comment submission. The CFTC also reserves the right, without further notification, to refuse to publish or to remove from public view all or any part of your submission to the extent it contains content inappropriate for publication in a comment file, such as—without limitation—obscene language, threats of violence, solicitations for commercial sales or illegal activity, or obvious spam. If a submission that is refused for or withdrawn from publication because of inappropriate content also contains comments on the merits of this notice, such submission will be retained in the record for the matter and will be considered as required under the Administrative Procedure Act, the Paperwork Reduction Act, and other applicable laws, and may be accessible under the FOIA.

FOR FURTHER INFORMATION CONTACT:

Eric Schmelzer, Special Counsel, (202) 836-0567, eschmelzer@cftc.gov, of the Division of Clearing and Risk; Dina Moussa, Special Counsel, (202) 418-5696,dmoussa@cftc.gov, or Catherine Brescia, Attorney Advisor, (202) 418-6236, cbrescia@cftc.gov, of the Market Participants Division; Roger Smith, (202) 418-5344, rsmith@cftc.gov, of the Division of Market Oversight, Commodity Futures Trading Commission, 77 West Jackson Blvd., Suite 800, Chicago, IL 60604 .

SUPPLEMENTARY INFORMATION:

( printed page 27308)

Title: Procedural Requirements for Requests for Interpretative, No-Action, and Exemptive Letters (OMB Control No. 3038-0049). This is a request for an extension of a currently approved information collection.

Abstract: This collection covers the information requirements for voluntary requests for, and the issuance of, interpretative, no-action, and exemptive letters submitted to Commission staff pursuant to the provisions of section 140.99 of the Commission's regulations,^[1] and related requests for confidential treatment pursuant to section 140.98(b) ^[2] of the Commission's regulations.

The collection requirements described herein are voluntary. They apply to parties that choose to request a benefit from Commission staff in the form of the regulatory action described in section 140.99. Such benefits may include, for example, staff action related to some or all of the burdens associated with other collections of information, staff action related to regulatory obligations that do not constitute collections of information, interpretations, or extensions of time for compliance with certain Commission regulations. Any person requesting action under section 140.99 will likely have determined the staff action sought substantially outweighs any associated information collection burden.

This information collection is necessary, and is used, to assist Commission staff in understanding the type of staff action that is being requested and the basis for the request. It is also necessary, and is used, to provide staff with a sufficient basis for determining whether: (1) granting the requested action would be necessary or appropriate under the facts and circumstances presented by the requestor; (2) the requested action provided should be conditional and/or time-limited; and (3) granting the requested action would be consistent with staff responses to requests that have been presented under similar facts and circumstances. In some cases, Commission staff might grant the requested action with certain conditions it deems appropriate. Once again, those complying with these conditions will likely have determined the staff action sought outweighs any associated burden. This information collection also is necessary to provide a mechanism whereby persons requesting interpretative, no-action, and exemptive letters may seek temporary confidential treatment of their request and the Commission staff response thereto and the grounds upon which such confidential treatment is sought.

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.^[3] On February 17, 2026, 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, 91 FR 7264 (“60-Day Notice”). The Commission did not receive any comments on the 60-Day Notice.

Burden Statement: The Commission is revising its existing burden estimate for this information 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 Annual Respondents: 44.

Estimated Average Annual Burden Hours Per Respondent: 40.

Estimated Total Annual Burden Hours: 1,760.

Frequency of Collection: Occasional.

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

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

Dated: May 12, 2026.

Robert Sidman,

Deputy Secretary of the Commission.

Footnotes

1. 17 CFR 140.99. An archive containing CFTC staff letters may be found at https://www.cftc.gov/LawRegulation/CFTCStaffLetters/index.htm.

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2. 17 CFR 140.98(b).

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

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[FR Doc. 2026-09634 Filed 5-13-26; 8:45 am]

BILLING CODE 6351-01-P

Legal Citation

Federal Register Citation

Use this for formal legal and research references to the published document.

91 FR 27307

Web Citation

Suggested Web Citation

Use this when citing the archival web version of the document.

“Agency Information Collection Activities Under OMB Review,” thefederalregister.org (May 14, 2026), https://thefederalregister.org/documents/2026-09634/agency-information-collection-activities-under-omb-review.