[Federal Register Volume 91, Number 156 (Friday, August 14, 2026)]
[Notices]
[Pages 52677-52678]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2026-16631]
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COMMODITY FUTURES TRADING COMMISSION
Agency Information Collection Activities: Notice of Intent To
Extend Collection 3038-0005
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 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 proposed extension of an existing collection of
information, and to allow 60 days for public comment. This notice
solicits comments on the information collections associated with the
rules relating to the operations and activities of commodity pool
operators (CPOs) and commodity trading advisors (CTAs) and monthly
reporting by futures commission merchants.
DATES: Comments must be submitted on or before October 13, 2026.
ADDRESSES: You may submit comments, specifically referencing ``OMB
Control No. 3038-0005,'' by any of the following methods:
Regulations.gov: Go to https://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.govare 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 Ehrstein, (202) 418-5957,
[email protected]; or Elizabeth Groover, Special Counsel, (202) 418-
5985, [email protected], each in the Market Participants Division of
the Commodity Futures Trading Commission, 1155 21st Street NW,
Washington, DC 20581.
SUPPLEMENTARY INFORMATION: Under the PRA, 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 before submitting
the collection to OMB for approval. To comply with this requirement,
the CFTC is publishing notice of the proposed renewal of the 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 number.
Title: Rules Relating to the Operations and Activities of Commodity
Pool Operators and Commodity Trading Advisors and to Monthly Reporting
by Futures Commission Merchants (OMB Control No. 3038-0005). This is a
request for extension of a currently approved information collection.
Abstract: The various collections of information required by part 4
\1\ of the Commission's regulations were previously approved by OMB in
accordance with the PRA and assigned OMB control number 3038-0005. The
Commission offers the following summary of the renewal to the notice
and the resulting estimated impact on
[[Page 52678]]
existing burden hour estimates associated with this information
collection.
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\1\ 17 CFR 4.1-4.41.
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The Commodity Exchange Act (CEA) authorizes the Commission to
require CPOs and CTAs to maintain books and records and to file reports
as required by the Commission.\2\ The Commission also has authority to
promulgate such regulations as it deems necessary to implement the
purposes of the CEA.\3\ It is pursuant to this authority that the
Commission has promulgated the various compliance requirements for CPOs
and CTAs in 17 CFR part 4. The reporting, filing, and recordkeeping
requirements within part 4 of the Commission's regulations were adopted
to assist and inform customers, to establish customer protection
initiatives for investors, to facilitate monitoring intermediary
compliance with part 4 regulations by the Commission and its delegee,
the National Futures Association (NFA), and to enable the Commission to
better monitor the market risks posed by its registrants. The
information collections are necessary to enable the Commission and NFA
to accomplish the purposes of both the CEA and the compliance regime
set forth in part 4 of the Commission's regulations.
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\2\ 7 U.S.C. 6n(3).
\3\ 7 U.S.C. 8a(5).
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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
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 respondent burden for this collection is
estimated to be as follows:
Respondents/affected entities: (1) All persons filing reports
required by 17 CFR part 4, and (2) all principals of such persons.
Estimated number of respondents: 49,183.
Estimated average burden hours per respondent: 8.86.
Estimated total annual burden on respondents: 435,925 hours.
Frequency of collection: On occasion.
Authority: 44 U.S.C. 3501, et seq.
Dated: August 12, 2026.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2026-16631 Filed 8-13-26; 8:45 am]
BILLING CODE 6351-01-P