Notice2026-12041
Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0096, Swap Data Recordkeeping and Reporting Requirements
Primary source
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Published
June 16, 2026
Issuing agencies
Commodity Futures Trading Commission
Abstract
The Commodity Futures Trading Commission ("CFTC" or "Commission") is announcing an opportunity for public comment on the proposed renewal of an information collection 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 pertaining to the Commission's swap data recordkeeping and reporting requirements. These rules impose recordkeeping and reporting requirements on the following entities: Swap Dealers ("SDs"), Major Swap Participants ("MSPs"), Swap Execution Facilities ("SEFs"), designated contract markets ("DCMs"), swap data repositories ("SDRs"), derivatives clearing organizations ("DCOs"), and swap counterparties that are neither swap dealers nor major swap participants ("non-SD/MSP counterparties").
Full Text
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<title>Federal Register, Volume 91 Issue 115 (Tuesday, June 16, 2026)</title>
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[Federal Register Volume 91, Number 115 (Tuesday, June 16, 2026)]
[Notices]
[Pages 36122-36123]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-12041]
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COMMODITY FUTURES TRADING COMMISSION
Agency Information Collection Activities: Notice of Intent To
Extend Collection 3038-0096, Swap Data Recordkeeping and Reporting
Requirements
AGENCY: Commodity Futures Trading Commission.
ACTION: Notice.
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SUMMARY: The Commodity Futures Trading Commission (``CFTC'' or
``Commission'') is announcing an opportunity for public comment on the
proposed renewal of an information collection 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 pertaining
to the Commission's swap data recordkeeping and reporting requirements.
These rules impose recordkeeping and reporting requirements on the
following entities: Swap Dealers (``SDs''), Major Swap Participants
(``MSPs''), Swap Execution Facilities (``SEFs''), designated contract
markets (``DCMs''), swap data repositories (``SDRs''), derivatives
clearing organizations (``DCOs''), and swap counterparties that are
neither swap dealers nor major swap participants (``non-SD/MSP
counterparties'').
DATES: Comments must be submitted on or before August 17, 2026.
ADDRESSES: You may submit comments, specifically referencing ``OMB
Control No. 3038-0096,'' by any of the following methods:
<bullet> <a href="http://Regulations.gov">Regulations.gov</a>: Go to <a href="https://www.regulations.gov">https://www.regulations.gov</a> 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
<a href="http://www.federalregister.gov">www.federalregister.gov</a>, 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 <a href="http://Regulations.gov">Regulations.gov</a>.
<bullet> Mail: Send to--Christopher Kirkpatrick, Secretary of the
Commission, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street NW, Washington, DC 20581.
<bullet> 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 <a href="http://Regulations.gov">Regulations.gov</a> 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
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laws, and may be accessible under the FOIA.
FOR FURTHER INFORMATION CONTACT: Owen Kopon, Associate Director,
Division of Market Oversight, Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 (202)
418-5360; email: <a href="/cdn-cgi/l/email-protection#29464246594647694a4f5d4a074e465f"><span class="__cf_email__" data-cfemail="a6c9cdc9d6c9c8e6c5c0d2c588c1c9d0">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION: Under the PRA, 44 U.S.C. 3501 et 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 information
collection including each proposed extension of an existing information
collection, before submitting the collection to OMB for approval. To
comply with this requirement, the CFTC is publishing notice of a
proposed extension of the currently approved information collection
listed below. An agency may not conduct or sponsor, and a person is not
required to respond to, an information collection unless it displays a
currently valid OMB control number.
Title: Swap Data Recordkeeping and Reporting Requirements (OMB
Control No. 3038-0096). This is a request for an extension of a
currently approved information collection.
Abstract: The collection of information is needed to ensure that
the CFTC and other regulators have access to swap data as required by
the Commodity Exchange Act, as amended by the Dodd-Frank Wall Street
Reform and Consumer Protection Act (``Dodd-Frank Act''). The Dodd-Frank
Act directed the CFTC to adopt rules providing for the reporting of
data relating to swaps. In 2012, the CFTC adopted part 45, which
imposes recordkeeping and reporting requirements relating to swaps. In
2020, a final rule adopting modifications to part 45 was adopted by the
Commission.\1\
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\1\ Final Rule, Swap Data Recordkeeping and Reporting
Requirements, 85 FR 75503 (Nov. 25, 2020).
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With respect to the collection of information, the CFTC invites
comments on:
<bullet> Whether the proposed collection of information is
necessary for the proper performance of the functions of the CFTC,
including whether the information will have a practical use;
<bullet> The accuracy of the CFTC's estimate of the burden of the
proposed collection of information, including the validity of the
methodology and assumptions used;
<bullet> Ways to enhance the quality, usefulness, and clarity of
the information to be collected; and
<bullet> 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: Part 45 of the Commission's regulations
establishes swap reporting and recordkeeping requirements for swap
execution facilities (``SEFs''), designated contract markets
(``DCMs''), swap data repositories (``SDRs''), derivatives clearing
organizations (``DCOs''), swap dealers (``SDs''), major swap
participants (``MSPs''), and non-SD/MSP/DCO counterparties (``non-SD/
MSP counterparties''). The Commission estimates the burden of the
collection of information as set out below.
Respondents/Affected Entities: Swap Dealers, Major Swap
Participants, SEFs, DCMs, DCOs, and other counterparties to a swap
transaction (i.e., end-user, non-SD/non-MSP counterparties).
Estimated number of respondents: 1,732.
Estimated average burden hours per respondent: 839 hours (rounded).
Estimated total annual burden hours on respondents: 1,452,730
hours.
Frequency of collection: Ongoing.
There are no capital costs or operating and maintenance costs
associated with this collection.
(Authority: 44 U.S.C. 3501 et seq.)
Dated: June 11, 2026.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2026-12041 Filed 6-15-26; 8:45 am]
BILLING CODE 6351-01-P
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