Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0005
The Commodity Futures Trading Commission (CFTC or Commission) is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by t...
The Commodity Futures Trading Commission (CFTC or Commission) is announcing an opportunity for public comment on the proposed renewal of a 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 proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the information collections associated with the rules relating to the operations and activities of commodity pool operators (CPOs) and commodity trading advisors (CTAs) and monthly reporting by futures commission merchants.
DATES:
Comments must be submitted on or before October 13, 2026.
ADDRESSES:
You may submit comments, specifically referencing “OMB Control No. 3038-0005,” by any of the following methods:
Regulations.gov:
Go to
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:
Michael Ehrstein, (202) 418-5957,
mehrstein@cftc.gov;
or Elizabeth Groover, Special Counsel, (202) 418-5985,
egroover@cftc.gov,
each in the Market Participants Division of the Commodity Futures Trading Commission, 1155 21st Street NW, Washington, DC 20581.
SUPPLEMENTARY 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 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 before submitting the collection to OMB for approval. To comply with this requirement, the CFTC is publishing notice of the proposed renewal of the collection of information listed below. 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 number.
Title:
Rules Relating to the Operations and Activities of Commodity Pool Operators and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants (OMB Control No. 3038-0005). This is a request for extension of a currently approved information collection.
Abstract:
The various collections of information required by part 4 [1]
of the Commission's regulations were previously approved by OMB in accordance with the PRA and assigned OMB control number 3038-0005. The Commission offers the following summary of the renewal to the notice and the resulting estimated impact on
( printed page 52678)
existing burden hour estimates associated with this information collection.
The Commodity Exchange Act (CEA) authorizes the Commission to require CPOs and CTAs to maintain books and records and to file reports as required by the Commission.[2]
The Commission also has authority to promulgate such regulations as it deems necessary to implement the purposes of the CEA.[3]
It is pursuant to this authority that the Commission has promulgated the various compliance requirements for CPOs and CTAs in 17 CFR part 4. The reporting, filing, and recordkeeping requirements within part 4 of the Commission's regulations were adopted to assist and inform customers, to establish customer protection initiatives for investors, to facilitate monitoring intermediary compliance with part 4 regulations by the Commission and its delegee, the National Futures Association (NFA), and to enable the Commission to better monitor the market risks posed by its registrants. The information collections are necessary to enable the Commission and NFA to accomplish the purposes of both the CEA and the compliance regime set forth in part 4 of the Commission's regulations.
With respect to the 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 are 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
Burden Statement:
The respondent burden for this collection is estimated to be as follows:
Respondents/affected entities:
(1) All persons filing reports required by 17 CFR part 4, and (2) all principals of such persons.
Estimated number of respondents:
49,183.
Estimated average burden hours per respondent:
8.86.
Estimated total annual burden on respondents:
435,925 hours.
www.regulations.gov
www.federalregister.gov
17 CFR 145.9
44 U.S.C. 3502(3)