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OMB Control No: 3038-0099	ICR Reference No: 202506-3038-005
Status: Received in OIRA	Previous ICR Reference No: 202207-3038-008
Agency/Subagency: CFTC	Agency Tracking No:
Title: Process for a Swap Execution Facility or Designated Contract Market to Make a Swap Available to Trade
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular	Date Submitted to OIRA: 09/18/2025

	Requested	Previously Approved
Expiration Date	36 Months From Approved	12/31/2025
Responses	3	5
Time Burden (Hours)	48	80
Cost Burden (Dollars)	0	0

Abstract: The CFTC requests approval for an extension of OMB approval of the information collections associated with the Process for a Swap Execution Facility or Designated Contract Market to Make a Swap Available to Trade. The Commission’s regulations establish a process for swap execution facilities and designated contract markets to make a swap “available to trade” for purposes of the trade execution requirement. The regulations require swap execution facilities and designated contract markets to consider certain factors when determining whether to make a swap “available to trade,” and under §§ 37.10(a) or 38.12(a) of the Commission’s regulations, a swap execution facility or designated contract market, respectively, would submit its determination to the Commission pursuant to the rule filing procedures of part 40 of the Commission’s regulations. Sections 40.5 and 40.6 of the Commission’s regulations establish the procedures for swap execution facilities and designated contract markets to submit rule filings to the Commission. In connection with this rule filing, a swap execution facility and designated contract market must provide an explanation and analysis of the submission and its compliance with statutory provisions of the Act. This explanation and analysis is necessary for the Commission to approve or certify a swap execution facility’s or designated contract market’s “available to trade” determination before the swap would be subject to the trade execution requirement (i.e., be required to trade only on a swap execution facility or designated contract market). Without this collection of information, certain swaps may inappropriately be subject to the trade execution requirement. In addition, this process allows the Commission to provide market participants with notice as to which swaps are subject to the trade execution requirement.

Authorizing Statute(s): US Code: 7 USC 2(h)(8) Name of Law: Dodd-Frank

Citations for New Statutory Requirements: None

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 29533	09/15/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 45024	09/18/2025
Did the Agency receive public comments on this ICR? Yes

Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Process for a Swap Execution Facility of Designated Contract Market to Make a Swap Available to Trade

ICR Summary of Burden

	Total Request	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	3	5	-2
Annual Time Burden (Hours)	48	80	-32
Annual Cost Burden (Dollars)	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: There are no program changes. The Commission has updated its estimate of the total number of respondents anticipated for the renewal period, resulting in a reduction from 5 to 3. As a result of this change, the estimated annual burden hours has decreased from 80 to 48 annual burden hours.

Annual Cost to Federal Government: $3,961

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination. No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination. No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Yes

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

Agency Contact: Kenny Wright 202 326-2907 kwright@ftc.gov

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