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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 Offi...

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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 November 30, 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 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 www.reginfo.gov/public/do/PRAMain.

In addition to the submission of comments to 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 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. ( printed page 68118)
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 Franklin, Special Counsel, Division of Clearing and Risk, Commodity Futures Trading Commission, (202) 418-5818; mfranklin@cftc.gov.

SUPPLEMENTARY INFORMATION:

Title: Requirements for Derivatives Clearing Organizations, OMB Control No. 3038-0076. This is a request for an extension of a currently approved information collection.

Abstract: Commission Regulations 39.10, 39.11, 39.12, 39.13, 39.14, 39.15, 39.16, 39.17, 39.18, 39.19, 39.21, 39.24 and 39.27 establish reporting requirements for registered derivatives clearing organizations (DCOs). Regulation 39.3 requires any person seeking to register as a DCO to submit a completed Form DCO as provided in Appendix A to part 39, accompanied by all applicable exhibits. Subpart C of part 39 includes additional requirements for systemically important DCOs and DCOs that elect to be subject to subpart C. Subpart D of part 39 includes requirements for DCOs subject to alternative compliance. The rules establish reporting and recordkeeping requirements that implement Section 5b of the Commodity Exchange Act (CEA), and are necessary for the Commission to assess compliance of DCOs and DCO applicants with requirements prescribed in the CEA and Commission regulations.

On August 6, 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 50816 (60-Day Notice). The Commission received two relevant comments on the 60-Day Notice. The first comment stated that the 60-Day FRN's aggregate estimate of the average burden hours for all respondents to the collection obscures that applicants for DCO registration face a proportionally higher burden in preparing applications compared to registered entity's comparatively lower ongoing compliance burdens.^[1] The Commission, however, provides granular burden estimates in the Supporting Statement submitted to the Office of Information and Regulatory Affairs, which includes estimates for applicants under Subpart A of Part 39, as well as Subparts B, C, and D, which apply to registered DCOs.

The second comment did not address the Commission's burden estimates, but recommended new substantive recordkeeping and risk-analysis requirements relating to tokenized collateral.^[2] The commenter's recommendations were based primarily on CFTC Staff Letter No. 25-39, Tokenized Collateral Guidance (Dec. 8, 2025). That guidance, however, reflects only the views of the Commission staff divisions that issued the letter and does not create additional rights or requirements. Accordingly, the guidance does not provide a basis for modifying this information collection or adopting new forms to require additional recordkeeping, as recommended by the commenter.

Burden Statement: The Commission is revising its estimate of the burden for this existing collection of information. The Commission is increasing its estimate of the total number of registered DCOs from 13 to 24. Similarly, the Commission is increasing its estimate of the total number of applicants for full DCO registration from one to 10. The estimates are based on the number of DCOs registered with the Commission, as well as pending applications for full DCO registration as of July 2026.

The respondent burden for this collection is estimated to be as follows:

Estimated number of respondents: 109.

Estimated annual reports per respondent: 240.

Estimated total annual responses: 26,119.

Estimated average burden hours per respondent: 907.

Estimated total annual burden hours: 98,886.

Frequency of collection: Daily, monthly, quarterly, annually, and on occasion.

The capital and start-up or operations and maintenance costs associated with this collection are estimated at $821,470.

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

Dated: October 27, 2026.

Robert Sidman,

Deputy Secretary of the Commission.

Footnotes

1. Anonymous Comment at 1.

Back to Citation

2. Tokenization Systems Comment at 1.

Back to Citation

[FR Doc. 2026-22076 Filed 10-28-26; 8:45 am]

BILLING CODE 6351-01-P

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Federal Register Citation

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91 FR 68117

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“Agency Information Collection Activities Under OMB Review,” thefederalregister.org (October 29, 2026), https://thefederalregister.org/documents/2026-22076/agency-information-collection-activities-under-omb-review.