Core Principles & Other Requirements for DCMs

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form Questionnaire DCM Technology Questionnaire	Form and Instruction	Modified	Available
Form Form DCM Form DCM	Form and Instruction	Modified	Available
Form Form DCM Part 38 - Designated Contract Markets	Form and Instruction	Modified	Available
2025 Supporting Statement 3038-0052.docx	Supporting Statement A	Uploaded 2025-07-18	Available
2025 Supporting Statement 3038-0052.docx	Supporting Statement A	Uploaded 2025-07-18	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
29100	Part 38 - Designated Contract Markets	Form and Instruction	Modified	DCM Technology Questionnaire
29100	Part 38 - Designated Contract Markets	Form and Instruction	Modified	Form DCM
29100	Part 38 - Designated Contract Markets	Form and Instruction	Modified
219525	System Safeguards Testing Requirements		Removed
209110	Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations		Removed

ICR Details

OMB Control No: 3038-0052	ICR Reference No: 202503-3038-001
Status: Active	Previous ICR Reference No: 202207-3038-003
Agency/Subagency: CFTC	Agency Tracking No:
Title: Core Principles & Other Requirements for DCMs
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/05/2025
Retrieve Notice of Action (NOA)	Date Received in OIRA: 07/18/2025
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2028	36 Months From Approved	09/30/2025
Responses	9,009	0	297
Time Burden (Hours)	12,342	0	10,494
Cost Burden (Dollars)	0	0	0

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Abstract: Part 38 of the U.S. Commodity Futures Trading Commission’s (“Commission”) regulations governs the activities of DCMs. The information collected pursuant to part 38 is necessary for the Commission to evaluate whether entities operating as, or applying to become, designated contract markets (“DCMs”) comply with the part 38, other Commission requirements, and the CEA’s statutory requirements. Collection 3038-0052 was created in response to the part 38 regulatory requirements for DCMs. In general, OMB Control Number 3038-0052 covers all information collections in part 38, including Subpart A and the DCM core principles (i.e., Subparts B through X) as well as the related appendices thereto (i.e., Appendix A—Form DCM; Appendix B—Guidance on, and Acceptable Practices in, Compliance with Core Principles; and Appendix C—Demonstration of Compliance That a Contract Is Not Readily Susceptible to Manipulation). Further, this OMB control number, 3038-0052, also includes all information collections related to part 9 (“Rules Relating to Review of Exchange Disciplinary, Access Denial Or Other Adverse Actions”) to the extent part 9 is applicable to DCMs. This collection also includes the requirements under regulation 38.251(g) in connection with the reporting of specific market disruption events to the Commission. This OMB control number, 3038-0052, also includes collections under Rule 1.52 regarding the Enhanced Protections Afforded Customer and Customer Funds Held by Futures Clearing Merchants and Derivatives Clearing Organizations. Commission regulation 1.52 imposes information collection burdens on DCMs. Additionally, this OMB control number, 3038-0052, also includes collections under regulation 38.1051(n) that relate to system safeguards and cybersecurity testing requirements and requires DCMs to provide the Commission with annual trading volume information.

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Authorizing Statute(s): US Code: 7 USC 6k, 6l, 6m, 6n, 6o, 6p, 6r, 6s Name of Law: CEA
   US Code: 7 USC 7, 7a-s, 7b, 7b-1, 7b-3 Name of Law: CEA
   US Code: 7 USC 8, 9, 10a, 12, 12a, 12c, 15 Name of Law: CEA
   US Code: 7 USC 13a, 13a-1, 15, 16, 16a, 19 Name of Law: CEA
   US Code: 7 USC 21, 23, 24 Name of Law: CEA
   US Code: 7 USC 1a, 2 Name of Law: CEA
   US Code: 7 USC 6, 6a, 6c, 6d, 6f, 6g, 6i, 6j Name of Law: CEA
  

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:
	90 FR 19471	05/08/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 33928	07/18/2025
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
Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
Part 38 - Designated Contract Markets	Questionnaire, Form DCM	Form DCM ,   DCM Technology Questionnaire
System Safeguards Testing Requirements

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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	9,009	297	0	0	8,712	0
Annual Time Burden (Hours)	12,342	10,494	0	0	1,848	0
Annual Cost Burden (Dollars)	0	0	0	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. For the majority of collections under OMB control number 3038-0052, the Commission notes that the number of registered, active DCMs has increased from 16 to 21. This increase in the number of registered DCMs yields an increase the total information collection burden for OMB control number 3038-0052 as noted in Attachment A. The Commission’s estimate of burden associated with this collection has increased from 10,484 to 12,342 burden hours. In addition, the Commission is removing the ICs titled “Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations” and “System Safeguards Testing Requirements” and consolidating the associated burden in the IC titled “Part 38 - Designated Contract Markets.” Accordingly, the total burden for this collection is now reflected under the IC titled “Part 38 – Designated Contract Markets.”

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Annual Cost to Federal Government: $0

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: 07/18/2025

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