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Commodity Futures Trading Commission

Agency prefix 3038 · CFTC · Financial Regulators · Latest filing 2026-10-29

Agency summary

Agency code: CFTC

Government type: Financial Regulators

Indexed filings: 900

Latest filing date: 2026-10-29

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Parent family and related agencies

Agencies related to Commodity Futures Trading Commission
OMB Prefix Agency Code Filings
3001 ACTION ACTION 165
3002 Administrative Conference of the United States ACUS 10
3003 Emergency Oil and Gas Guaranteed Loan Board EOGGLB 3
3004 Emergency Steel Guarantee Loan Board ESGLB 3
3005 African Development Foundation ADF 0
3010 Advisory Council on Historic Preservation ACHP 0
3011 Appalachian Regional Commission ARC 0
3014 Architectural and Transportation Barriers Compliance Board ATBCB 22
3015 United States International Development Finance Corporation DFC 56
3019 Barry M. Goldwater Scholarship and Excellence in Education Foundation BGSEEF 3
3020 James Madison Memorial Fellowship Foundation JMMFF 5
3024 Civil Aeronautics Board CAB 188
3030 Armed Forces Retirement Home AFRH 0
3035 U.S. Commission on Civil Rights CCR 12
3037 Committee for Purchase From People Who Are Blind or Severely Disabled CPBSD 106
3039 REGS/RMS REGS/RMS 58
3041 Consumer Product Safety Commission CPSC 539
3045 Corporation for National and Community Service CNCS 565
3046 Equal Employment Opportunity Commission EEOC 252
3048 Export-Import Bank of the United States EXIMBANK 359
3052 Farm Credit Administration FCA 0
3053 Farm Credit System Assistance Board FCSAB 0
3055 Farm Credit System Insurance Corporation FCSIC 0
3060 Federal Communications Commission FCC 9004
3064 Federal Deposit Insurance Corporation FDIC 1676
3067 Federal Emergency Management Agency FEMA 1100
3068 Federal Home Loan Bank Board FHLBB 286
3069 Federal Housing Finance Board FHFB 57
3070 Federal Labor Relations Authority FLRA 53
3072 Federal Maritime Commission FMC 344
3076 Federal Mediation and Conciliation Service FMCS 118
3079 Federal Mine Safety and Health Review Commission FMSHRC 2
3080 Office of the Federal Coordinator for Alaska Natural Gas Transportation Projects OFC-ANGTP 0
3084 Federal Trade Commission FTC 730
3085 Vietnam Education Foundation VEF 0
3086 REGS/RMS REGS/RMS 39
3090 General Services Administration GSA 939
3095 National Archives and Records Administration NARA 369
3098 National Assessment Governing Board NAGB 6

Forms

OMB control numbers for Commodity Futures Trading Commission
OMB Number Title Latest filing
3038-0103 Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports) 2026-10-29
3038-0076 Requirements for Derivatives Clearing Organizations 2026-10-29
3038-0097 Process for Review of Swaps for Mandatory Clearing 2026-10-22
3038-0092 Customer Clearing Documentation and Timing of Acceptance for Clearing 2026-10-22
3038-0091 Disclosure and Retention of Certain Information Relating to Cleared Swaps Customer Collateral 2026-10-21
3038-0096 Swap Data Recordkeeping and Reporting Requirements 2026-10-06
3038-0117 Exemption from Derivatives Clearing Organization Registration 2026-09-01
3038-0012 Futures Volume, Open Interest, Price, Deliveries, and Exchanges of Futures 2026-07-01
3038-0009 Large Trader Reports 2026-07-01
3038-0067 Part 162 - Protection of Consumer Information under the Fair Credit Reporting Act 2026-06-17
3038-0090 Swap Recordkeeping Requirements 2026-06-11
3038-0072 Registration of Swap Dealers and Major Swap Participants 2026-06-11
3038-0101 Registration of Foreign Boards of Trade 2026-05-14
3038-0049 Procedural Requirements for Requests for Interpretative, No- Action and Exemptive Letters 2026-05-14
3038-0115 Reparations Complaint, CFTC Form 30 2026-05-13
3038-0116 Response to Notification of Termination of Exemptive Relief Issued Pursuant to Regulation 30.10 2026-05-01
3038-0013 Position Limits 2026-05-01
3038-0025 Practice by Former Members and Employees of the Commission 2026-02-27
3038-0055 Privacy of Consumer Financial Information 2026-02-26
3038-0107 Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery 2026-02-25
3038-0023 Registration under the Commodity Exchange Act 2026-02-09
3038-0079 Swap Dealer and Major Swap Participant Conflicts of Interest and Business Conduct Standards with Counterparties 2025-12-30
3038-0122 Survey of the Costs of Bank Secrecy Act/Anti-Money Laundering Compliance 2025-12-15
3038-0088 Swap Documentation 2025-12-09
3038-0102 Clearing Exemption for Certain Swaps Entered into by Cooperatives 2025-12-04
3038-0085 Rule 50.50 End-User Notification of Non-Cleared Swap 2025-12-04
3038-0111 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements 2025-09-19
3038-0099 Process for a Swap Execution Facility or Designated Contract Market to Make a Swap Available to Trade 2025-09-18
3038-0017 Market Surveys 2025-09-17
3038-0061 Regulation 16.02 - Daily Trade and Supporting Data Reports 2025-07-22
3038-0078 Conflict of Interest Policies and Procedures by Future Commission Merchants and introducing Brokers 2025-07-21
3038-0052 Core Principles & Other Requirements for DCMs 2025-07-18
3038-0089 Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps 2025-07-15
3038-0070 Real-Time Public Reporting 2025-07-14
3038-0087 Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Participants. 2025-06-26
3038-0080 Annual Report for Chief Compliance Officer of Registrants 2025-06-26
3038-0094 Clearing Member Risk Management 2025-05-08
3038-0084 Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants 2025-05-08
3038-0075 Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy 2025-05-08
3038-0074 Core Principles and Other Requirements for Swap Execution Facilities 2025-03-11
3038-0104 Clearing Exemption for Swaps Between Certain Affiliated Entities 2025-01-31
3038-0121 Regulations Governing Separate Account Treatment for Withdrawal of Customer Initial Margin 2025-01-22
3038-0043 Rules Relating to Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration & Member Responsibility Actions 2024-12-26
3038-0086 Swap Data Access Provisions of Part 49 and Certain Other Matters 2024-12-16
3038-0033 Notification of Pending Legal Proceedings 2024-11-25
3038-0093 Part 40, Provisions Common to Registered Entities 2024-11-07
3038-0007 Regulation of Domestic Exchange-Traded Options 2024-10-25
3038-0005 Rules Relating to the Operations and Activities of Commodity Pool Operators and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants 2024-09-26
3038-0021 Regulations Governing Bankruptcies of Commodity Brokers 2024-08-27
3038-0095 Large Trader Reporting for Physical Commodity Swaps 2024-06-28
3038-0024 Regulations and Forms Pertaining to Financial Integrity of the Market Place; Margin Requirements for SDs/MSPs 2024-05-23
3038-0082 Implementing the Whistleblower Provision of Section 23 of the Commodity Exchange Act 2024-02-01
3038-0015 Copies of Crop and Market Information Reports 2024-01-30
3038-0026 Gross Collection of Exchange-Set Margins for Omnibus Accounts 2024-01-26
3038-0120 Operational Resilience Framework for Futures Commission Merchants, Swap Dealers, and Major Swap Participants 2024-01-24
3038-0062 Off-Exchange Foreign Currency Transactions 2023-12-22
3038-0059 Part 41 - Security Futures Products 2023-10-24
3038-0119 Qualification Information for Candidates to Advisory Committees and Subcommittees 2023-05-05
3038-0118 Regulations Governing Separate Account Treatment for Withdrawal of Customer Initial Margin 2023-04-14
3038-0031 Procurement Contracts 2022-09-02
3038-0083 Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants 2019-07-02
3038-0068 Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants 2019-07-02
3038-0069 Information Management Requirements for Derivatives Clearing Organization 2018-09-26
3038-0066 Financial Resource Requirements for Derivatives Clearing Organizations 2018-02-27
3038-0081 Derivatives Clearing Organizations, General Regulations and International Standards 2017-08-01
3038-0114 CFTC SmartCheck Annual Campaign Impact Tracking Survey 2016-10-20
3038-0113 Exemptions from Specualtive Limits 2016-06-13
3038-0112 Regulation Automated Trading 2015-12-17
3038-0106 Form TO, Annual Notice Filing for Counterparties to Unreported Trade Option 2015-05-07
3038-0110 Position Limits for Derivatives 2014-07-02
3038-0109 Exclusion of Utility Operations-Related Swaps with Utility Special Entities from De Minimis Threshold for Swaps with Special Entities 2014-06-02
3038-0108 Quantitative Messaging Research 2013-10-28
3038-0105 Financial Education Content Needs Survey 2013-01-25
3038-0060 Regulation 36.3 - Exempt Commercial Market Submission Requirements 2012-09-06
3038-0098 Exemptive Order Regarding Compliance with Certain Swap Regulations 2012-07-24
3038-0077 Position Limits for Futures and Swaps 2012-06-27
3038-0100 Designated contract markets, registered entities, reporting and record keeping requirements, swap execution facilities, swaps 2012-02-03
3038-0064 Rules, regulations and forms for domestic and foreign futures and options relating to registration with the Commission 2011-08-04
3038-0071 Interim Final Rule for Reporting Pre-enactment Swap Transaction; Proposed Collection, Comment Request: Reporting of Pre-enactment Swap Transaction 2011-01-24
3038-0073 Part 37, 38, 39, and 40 - Information Related to Goverance Arrangements 2011-01-07
3038-0054 Part 36 Establishing Notification Procedures for Entities Operating as Exempt Markets 2010-12-22
3038-0022 Rules Pertaining to Contract Markets and Their Members 2010-12-21
3038-0065 Regulation 16.03 - Ownership and control report 2010-07-26
3038-0019 Stocks of Grain in Licensed Warehouses 2010-06-30
3038-0063 Regulation 1.45 and Parts 20 and 151 -- Position Limit Framework for Referenced Energy Contracts 2010-03-11
3038-0048 Off-Exchange Agricultural Trade Options 2009-03-26
3038-0051 Part 39 Derivatives Clearing Organizations 2008-11-20
3038-0056 Privacy of Consumer Financial Information 2001-10-10
3038-0058 Part 41 Relating to Security Futures Products 2001-08-07
3038-0057 Part 41 Relating to Security Futures Products 2001-08-06
3038-0016 Compliance with Requirements for Designation as a Contract Market 2001-01-24
3038-0018 Information Concerning Warehouses 2000-07-28
3038-0053 Part 37 Establishing Procedures for Entities to be Recognized as Derivatives Transaction Facilities 2000-06-09
3038-0050 Public Reporting by Operators of Certain Large Commodity Pools 2000-04-13
3038-0047 Contract Market Transactions -- Section 4(c) 1998-01-23
3038-0035 Rules Relating to the Offer and Sale of Foreign Futures and Foreign Options 1997-10-09
3038-0046 RISK ASSESSMENT FOR HOLDING COMPANY SYSTEMS 1994-03-29
3038-0041 REGULATION OF HYBRID INSTRUMENTS 1992-04-03
3038-0001 FUTURES COMMISSION MERCHANT REPORT ON DEALER OPTIONS 1991-05-30
3038-0003 REGULATIONS PERMITTING THE GRANT, OFFER AND SALE OF DEALER OPTIONS 1989-04-28
3038-0029 RULES FOR CERTAIN LEVERAGE TRANSACTIONS 1989-01-27
3038-0039 OFF-EXCHANGE SURVEY 1987-10-09
3038-0036 LEVERAGE SURVEY 1987-03-10
3038-0034 ONE-TIME SURVEY OF FUTURES AND OPTIONS MARKETS 1984-04-18
3038-0032 STUDY OF TRADING ON MATERIAL, NON-PUBLIC INFORMATION 1984-02-14
3038-0028 LARGE HEDGER STUDY 1983-08-10
3038-0008 WITHDRAWAL FROM REGISTRATION 1982-07-27
3038-0010 MANAGED ACCOUNT QUESTIONNAIRE 1981-09-01
3038-0002 QUESTIONNAIRE ON USE OF LETTERS OF CREDIT AND SIZE OF BUSINESS CONDUCTED ON FOREIGN MARKETS 1981-04-30