Procedural Requirements for Requests for Interpretative, No- Action and Exemptive Letters

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
2026 Supporting Statement 3038-0049.docx	Supporting Statement A	Uploaded 2026-05-14	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
29095	Procedural Requirements for Requests for Interpretative, No-Action, and Exemptive Letters		Modified

ICR Details

OMB Control No: 3038-0049	ICR Reference No: 202602-3038-001
Status: Received in OIRA	Previous ICR Reference No: 202305-3038-002
Agency/Subagency: CFTC	Agency Tracking No:
Title: Procedural Requirements for Requests for Interpretative, No- Action and Exemptive Letters
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: 05/14/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	07/31/2026
Responses	44	45
Time Burden (Hours)	1,760	1,800
Cost Burden (Dollars)	0	0

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Abstract: Under 17 C.F.R. § 140.99, parties engaging in transactions or activities governed by the Commodity Exchange Act and implementing regulations may request relief from statutory or regulatory obligations. Such relief may include that associated with other collections of information, relief from obligations that do not constitute collections of information, and extensions of time for compliance with statutory or regulatory obligations. Additionally, parties may request interpretative guidance concerning statutory or regulatory requirements. In response, staff of the Commodity Futures Trading Commission may issue an exemptive, no-action, or interpretative letter. In order to process and properly evaluate a request for relief, staff needs accurate and complete background information concerning the parties and activities involved, the facts and circumstances relevant to the request, and the legal or public policy grounds upon which the request is made.

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Authorizing Statute(s): US Code: 7 USC 12(a) Name of Law: Commodity Exchange Act
  

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:
	91 FR 7264	02/17/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 27307	05/14/2026
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
Procedural Requirements for Requests for Interpretative, No-Action, and Exemptive Letters

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ICR Summary of Burden

table that charts list of burden

	Total Request	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	44	45	0	0	-1	0
Annual Time Burden (Hours)	1,760	1,800	0	0	-40	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: While the estimated average annual burden hours (40 hours) per respondent has not changed from the previous renewal, the total estimated average annual respondent requests/Commission responses for this renewal period has dropped slightly from an estimated 45 annual responses in the previous renewal to 44. As a result, the total estimated burden hours have also been reduced, from 1,800 hours in the previous renewal to 1,760 hours currently.

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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.     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.     Yes

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]? No

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: 05/14/2026

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