Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0096, Swap Data Recordkeeping and Reporting Requirements

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Comments must be submitted on or before August 17, 2026.
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AGENCY:
Commodity Futures Trading Commission.
ACTION:
Notice.
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:
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
( printed page 36123)
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:
okopon@cftc.gov.
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 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]
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 CFTC, including whether the information will have a practical use;
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;
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:
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.