Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
2025 Supporting Statement 3038-0089.docx	Supporting Statement A	Uploaded 2025-07-11	Available
2025 Supporting Statement 3038-0089.docx	Supporting Statement A	Uploaded 2025-07-11	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
197508	Swap Date Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps		Modified

ICR Details

OMB Control No: 3038-0089	ICR Reference No: 202504-3038-002
Status: Active	Previous ICR Reference No: 202207-3038-006
Agency/Subagency: CFTC	Agency Tracking No:
Title: Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
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: 08/26/2025
Retrieve Notice of Action (NOA)	Date Received in OIRA: 07/15/2025
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2028	36 Months From Approved	08/31/2025
Responses	30,605	0	30,108
Time Burden (Hours)	13,946	0	14,366
Cost Burden (Dollars)	0	0	0

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Abstract: On July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) went into effect. Title VII of the Dodd-Frank Act amended the Commodity Exchange Act (“CEA”) to create a regulatory framework for swaps. Section 723 of Title VII amended Section 2 of the CEA to provide that rules adopted by the Commodity Futures Trading Commission (“Commission” or “CFTC”) to implement Section 2 shall provide for the reporting of data relating to both: (i) swaps entered into before the date of enactment of the Dodd-Frank Act, the terms of which have not expired as of the date of enactment of that Act (“pre-enactment swaps”) and (ii) swaps entered into on or after the date of enactment of the Dodd-Frank Act and prior to the compliance date specified in Commission swap data reporting rules implementing Section 2(h)(5)(B) (“transition swaps”). On June 12, 2012, the Commission adopted regulation 46, which imposes recordkeeping and reporting requirements relating to pre-enactment and transition swaps (collectively, “historical swaps”). This renewal concerns the existing collections of information required by 17 CFR Part 46. CFTC regulation 46 imposes recordkeeping and reporting requirements, relating to historical swaps, on the following entities: swap dealers (“SDs”), major swap participants (“MSPs”), and counterparties to swaps who are neither SDs nor MSPs (“non-SD/MSP counterparties”). Section 46.2 requires affected entities to keep certain records relating to historical swaps; Section 46.3 requires affected entities to make an initial data report regarding historical swaps to a swap data repository (“SDR”) and make on-going reports to a SDR for certain historical swaps throughout the existence of the swaps; Section 46.11 requires affected entities to report errors and omissions in data previously reported regarding historical swaps to a SDR.

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Authorizing Statute(s): PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd-Frank Act
   US Code: 7 USC . 2(a), 21(b), and 2(h)(5)(B) 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 19684	05/09/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 31625	07/15/2025
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
Swap Date Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps

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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	30,605	30,108	0	0	497	0
Annual Time Burden (Hours)	13,946	14,366	0	0	-420	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 or adjustments. The Commission has updated its estimate of the total number of respondents and associated annual time burden associated with this collection. The number of respondents and total burden hours have decreased since the previous renewal in 2022. Because the total number of estimated respondents has decreased from 30,108 to 30,106, the associated estimates of annual burden hours has decreased from 14,366 to 13,946.

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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: 07/15/2025

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