Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0059: Part 41, Relating to Security Futures Products
The Commodity Futures Trading Commission ("Commission" or "CFTC") is announcing an opportunity for public comment on the proposed renewal of a collection of certain information ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) 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 each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on collection requirements relating to security futures products.
DATES:
Comments must be submitted on or before October 19, 2026.
ADDRESSES:
You may submit comments, specifically referencing “OMB Control No. 3038-0059,” 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
( printed page 53611)
Procedure Act, the Paperwork Reduction Act, and other applicable laws, and may be accessible under the FOIA.
FOR FURTHER INFORMATION CONTACT:
Isabella Bergstein, (202) 993-1384,
ibergstein@cftc.gov,
Division of Market Oversight, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581, and refer to OMB Control No. 3038-0059.
SUPPLEMENTARY INFORMATION:
Under the PRA, 44 U.S.C. 3501et seq.,
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, 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 extension of the currently approved 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 control number.[1]
Title:
Part 41, Relating to Security Futures Products (OMB Control No. 3038-0059). This is a request for an extension of a currently approved information collection.
Abstract:
Section 4d(c) of the Commodity Exchange Act (“CEA”), 7 U.S.C. 6d(c), requires the CFTC to consult with the Securities and Exchange Commission (“SEC”) and issue such rules, regulations, or orders as are necessary to avoid duplicative or conflicting regulations applicable to firms that are fully registered with the SEC as brokers or dealers and the CFTC as futures commission merchants involving provisions of the CEA that pertain to the treatment of customer funds. The CFTC, jointly with the SEC, issued regulations requiring such dually-registered firms to make choices as to how its customers' transactions in security futures products will be treated, either as securities transactions held in a securities account or as futures transactions held in a futures account. How an account is treated is important in the unlikely event of the insolvency of the firm. Securities accounts receive insurance protection under provisions of the Securities Investor Protection Act. By contrast, futures accounts are subject to the protections provided by the segregation requirements of the CEA. The rules associated with this information collection include registration, reporting requirements, recordkeeping requirement, and third-party disclosure requirements.
With respect to the collection of information, the Commission 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 Commission is revising its estimate of the burden for this collection for a total of 10 respondents (2 DCMs and 8 FCMs). The respondent burden for this collection is estimated as follows:
Estimated number of respondents/affected entities:
10.
Estimated average burden hours per respondent:
60 hours (rounded).
Estimated total annual burden:
603 hours.
Frequency of collection:
On occasion.
There are no capital costs or operating and maintenance costs associated with this collection.
Use this for formal legal and research references to the published document.
91 FR 53610
Web Citation
Suggested Web Citation
Use this when citing the archival web version of the document.
“Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0059: Part 41, Relating to Security Futures Products,” thefederalregister.org (August 19, 2026), https://thefederalregister.org/documents/2026-16876/agency-information-collection-activities-notice-of-intent-to-extend-collection-3038-0059-part-41-relating-to-security-fu.
www.regulations.gov
www.federalregister.gov
17 CFR 145.9
44 U.S.C. 3501