Swap Data Access Provisions of Part 49 and Certain Other Matters

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
2024 30-Day FRN 3038-0086 (89 FR 101570).pdf	Supplementary Document	Uploaded 2024-12-16	Available
2024 30-Day FRN 3038-0086 (89 FR 101570).pdf	Supplementary Document	Uploaded 2024-12-16	Repair queued
2024 Supporting Statement 3038-0086.docx	Supporting Statement A	Uploaded 2024-12-16	Repair queued
2024 Supporting Statement 3038-0086.docx	Supporting Statement A	Uploaded 2024-12-16	Repair queued
2024 60-Day FRN 3038-0086 (89 FR 80897).pdf	Supplementary Document	Uploaded 2024-10-28	Available
2024 60-Day FRN 3038-0086 (89 FR 80897).pdf	Supplementary Document	Uploaded 2024-10-28	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
195635	Swap Data Access Provisions of Part 49 and Certain Other Matters		Modified

ICR Details

OMB Control No: 3038-0086	ICR Reference No: 202409-3038-003
Status: Active	Previous ICR Reference No: 202107-3038-003
Agency/Subagency: CFTC	Agency Tracking No:
Title: Swap Data Access Provisions of Part 49 and Certain Other Matters
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 05/22/2025
Retrieve Notice of Action (NOA)	Date Received in OIRA: 12/16/2024
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2028	36 Months From Approved	05/31/2025
Responses	12,032,966	0	4,809,003,138
Time Burden (Hours)	78,718	0	189,680
Cost Burden (Dollars)	2,000,000	0	43,338

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Abstract: Section 728 of the Dodd-Frank Act specifically requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to establish certain standards for the registration and governance of swap data repositories (“SDRs”), including regulations regarding SDRs reporting data to the Commission and to the public. In addition to implementing standards governing registration of and statutory duties applicable to SDRs, the CFTC is also required to adopt regulations that mitigate certain conflicts of interest in the operation of these entities and ensure appropriate levels of access by the Commission and certain other regulators to the data maintained by SDRs. The information from this collection is necessary for the Commission to perform its regulatory mandate to provide oversight of the markets and SDRs. Without accurate reporting of the data as set forth in the Commission’s regulations discussed in this statement, the Commission would be unable to fulfill its regulatory mandate of monitoring systemic risk.

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Authorizing Statute(s): US Code: 7 USC 12a(5) Name of Law: Registration of Commodity Dealers and Associated Persons
   US Code: 7 USC 24a Name of Law: Swap Data Repositories
   US Code: 7 USC 21
  

Citations for New Statutory Requirements: None

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

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 80897	10/04/2024
30-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 10157	12/16/2024
Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

IC Title	Form No.	Form Name
Swap Data Access Provisions of Part 49 and Certain Other Matters

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	12,032,966	4,809,003,138	0	0	-4,796,970,172	0
Annual Time Burden (Hours)	78,718	189,680	0	0	-110,962	0
Annual Cost Burden (Dollars)	2,000,000	43,338	0	0	1,956,662	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: The Commission’s overall burden estimates are being revised based on two primary factors: First, the number of SDRs that have registered with the Commission since the finalization of part 49 has reduced. The previous burden estimates were based on a total of 6 registered SDRs. Now, there are currently 4 registered SDRs, a number that is not expected to grow for the foreseeable future. As a result of this update, overall burden associated with the collection has been reduced. Second, the Commission has undertaken a complete review of the burden associated with the information requirements associated with this collection consistent with OMB’s instructions. Based on this review, the Commission is revising its burden estimates for this collection as described in Attachment A, which has resulted in an overall reduction of burden associated with this collection. In addition, the Commission has revised its labor cost estimates based on updated BLS data.

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Annual Cost to Federal Government: $6,527,080

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

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 12/16/2024

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