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OMB Control No: 3038-0076	ICR Reference No: 202607-3038-012
Status: Received in OIRA	Previous ICR Reference No: 202310-3038-001
Agency/Subagency: CFTC	Agency Tracking No:
Title: Requirements for Derivatives Clearing Organizations
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: 10/29/2026

	Requested	Previously Approved
Expiration Date	36 Months From Approved	12/31/2026
Responses	26,119	22,578
Time Burden (Hours)	98,886	64,157
Cost Burden (Dollars)	821,470	905,674

Abstract: Section 5b(a) of the Commodity Exchange Act (“CEA”) provides that a clearing organization may not perform the functions of a derivatives clearing organization (“DCO”) unless the clearing organization is registered with the Commission. In order to register and maintain registration with the Commission, a DCO must comply with the DCO Core Principles and all applicable Commission regulations. This information collection, as a whole, covers the burden associated with Part 39 of the Commission’s regulations applicable to registered DCOs, including requirements related to DCO governance.

Authorizing Statute(s): US Code: 7 USC 7a-1 Name of Law: Commodity Exchange Act
PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd - Frank Act

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:
	91 FR 50816	08/06/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 68117	10/29/2026
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
Requirements for Derivative Clearing Organizations	3038-0076

ICR Summary of Burden

	Total Request	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	26,119	22,578	3,541
Annual Time Burden (Hours)	98,886	64,157	34,729
Annual Cost Burden (Dollars)	821,470	905,674	-84,204

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: The Commission is revising its burden estimate for this collection to reflect current market data and to reflect updated costs. The Commission believes that the burden under this clearance will increase because of an increase in the total number of respondents and a rise in mean hourly wage rates based on updated Bureau of Labor Statistics wage data. The Commission estimates an increase from one application for full DCO registration (in 2023) to 10 applications for full DCO registration under Subpart A of Part 39 of the Commission’s Regulations. For Subpart B reporting and recordkeeping, the total burden increased due to the change from 13 DCOs (in 2023) to the current 24 DCOs. Increases in mean hourly wage rates have also increased the annual burden cost. These increases in applications and registrations result in an incremental increase of 34,729 burden hours annually for a new total of 98,886 burden hours. In addition, the Commission is updating its estimate of associated annual cost burdens to reflect estimated capital start-up and operations and maintenance costs.

Annual Cost to Federal Government: $1,165,000

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. Yes

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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