Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0093, Part 40, Provisions Common to Registered Entities

Issuing agencies

Abstract

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 collections of information provided for by Part 40 of the Commission's regulations, Provisions Common to Registered Entities.

Full Text

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<title>Federal Register, Volume 91 Issue 200 (Monday, October 19, 2026)</title>
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[Federal Register Volume 91, Number 200 (Monday, October 19, 2026)]
[Notices]
[Pages 66110-66111]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-21275]


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COMMODITY FUTURES TRADING COMMISSION


Agency Information Collection Activities: Notice of Intent To 
Extend Collection 3038-0093, Part 40, Provisions Common to Registered 
Entities

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice.

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SUMMARY: 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 collections of 
information provided for by Part 40 of the Commission's regulations, 
Provisions Common to Registered Entities.

DATES: Comments must be submitted on or before December 18, 2026.

ADDRESSES: You may submit comments, specifically referencing OMB 
Control No. 3038-0093, 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 Commission 
regulation 145.9 for requesting confidential treatment under the 
Freedom of Information Act (FOIA) of information submitted to the 
Commission.\1\
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    \1\ 17 CFR 145.9.
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    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 PRA, and other applicable laws, and may be accessible under 
the FOIA.

FOR FURTHER INFORMATION CONTACT: Roger Smith, Division of Market 
Oversight, Commodity Futures Trading Commission, 77 West Jackson Blvd., 
Suite 800, Chicago, Illinois 60604, (202) 418-5344, email: 
<a href="/cdn-cgi/l/email-protection#3e4c4d53574a567e5d584a5d10595148"><span class="__cf_email__" data-cfemail="cab8b9a7a3bea28aa9acbea9e4ada5bc">[email&#160;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 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.
    Title: Part 40, Provisions Common to Registered Entities (OMB 
Control No. 3038-0093). This is a request for extension of a currently 
approved information collection.
    Abstract: This collection of information involves the collection 
and submission to the Commission of information from registered 
entities concerning new products, rules, and rule amendments pursuant 
to the procedures outlined in Sec. Sec.  40.2, 40.3, 40.5, 40.6, and 
40.10 found in 17 CFR part 40. Part 40 of the Commission's regulations 
implements section 5c(c) of the CEA and sets forth provisions that are 
common to registered entities, including designated contract markets 
(``DCMs''), derivatives clearing organizations (``DCOs''), swap 
execution facilities (``SEFs''), and swap data repositories (``SDRs''). 
Part 40 establishes requirements and procedures for registered entities 
to submit information about their rules and products to the Commission 
prior to implementing rules, listing products for trading, or accepting 
products for clearing. Part 40 generally provides two means for 
registered entities to submit rules and products to the Commission. 
Typically, a registered entity elects to

[[Page 66111]]

certify that their product (Sec.  40.2) or rule (Sec.  40.6) complies 
with the CEA and the Commission regulations. This process is known as 
self-certification. Alternatively, a registered entity may seek 
Commission approval of the product (Sec.  40.3) or rule (Sec.  
40.5).\2\ The regulations also include special certification provisions 
(Sec.  40.10) for certain rules submitted by systemically important 
DCOs (``SIDCOs'').
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    \2\ Commission regulations may expressly or impliedly trigger 
the requirement for a registered entity to make a submission 
pursuant to part 40. For example, the Commission's part 150 
regulation on position limits contains an express requirement to 
make a Sec.  40.5 rule filing in certain circumstances. See 17 CFR 
150.9(a).
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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 
Commission, including whether the information will have a practical 
use;
    <bullet> 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;
    <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:
    OMB Control Number 3038-0093 reflects the information collection 
burden under Commission regulations associated with product filings 
(Sec. Sec.  40.2 and 40.3); rule filings (Sec. Sec.  40.5 and 40.6); 
and SIDCO filings (Sec.  40.10). As part of this renewal, the 
Commission has updated its burden estimates to reflect current 
respondent numbers, filing volumes, and burden hours.

Provisions Common to Regulated Entities IC

    The Commission estimates the average burden of the Provisions 
Common to Regulated Entities IC as follows:

 Product Submissions (Sec. Sec.  40.2 and 40.3)

    Estimated Number of Respondents: 100.
    Annual Responses by each Respondent: 87.
    Estimated Hours per Response: 22.
    Estimated Total Hours per Year: 191,400.

 Rule Submissions (Sec. Sec.  40.5 and 40.6)

    Estimated Number of Respondents: 100.
    Annual Responses by each Respondent: 40.
    Estimated Hours per Response: 2.5
    Estimated Total Hours per Year: 10,000.

 SIDCO Submissions (Sec.  40.10)

    Estimated Number of Respondents: 2.
    Annual Responses by each Respondent: 1.
    Estimated Hours per Response: 50.
    Estimated Total Hours per Year: 100.
    Frequency of Collection: On occasion.
    There are no capital costs or operating and maintenance costs 
associated with this collection.

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

    Dated: October 15, 2026.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2026-21275 Filed 10-16-26; 8:45 am]
BILLING CODE 6351-01-P


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