Requirements for Derivatives Clearing Organizations

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form 3038-0076 Form DCO	Form	Modified	Available
2026 Supporting Statement 3038-0076.docx	Supporting Statement A	Uploaded 2026-10-26	Available
Anonymous Comment (Collection 3038-0076).pdf	Public Comments	Uploaded 2026-10-05	Available
Tokenization Systems Comment (Collection 3038-0076).pdf	Public Comments	Uploaded 2026-10-05	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
195766	Requirements for Derivative Clearing Organizations	Form	Modified	Form DCO

ICR Details

OMB Control No: 3038-0076	ICR Reference No: 202607-3038-012
Status: Received in OIRA	Previous ICR Reference No: 202310-3038-001
Agency/Subagency: CFTC	Agency Tracking No:
Title: Requirements for Derivatives Clearing Organizations
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: 10/29/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	12/31/2026
Responses	26,119	22,578
Time Burden (Hours)	98,886	64,157
Cost Burden (Dollars)	821,470	905,674

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Abstract: Section 5b(a) of the Commodity Exchange Act (“CEA”) provides that a clearing organization may not perform the functions of a derivatives clearing organization (“DCO”) unless the clearing organization is registered with the Commission. In order to register and maintain registration with the Commission, a DCO must comply with the DCO Core Principles and all applicable Commission regulations. This information collection, as a whole, covers the burden associated with Part 39 of the Commission’s regulations applicable to registered DCOs, including requirements related to DCO governance.

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Authorizing Statute(s): US Code: 7 USC 7a-1 Name of Law: Commodity Exchange Act
   PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd - Frank 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 50816	08/06/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 68117	10/29/2026
Did the Agency receive public comments on this ICR? Yes

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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
Requirements for Derivative Clearing Organizations	3038-0076	Form DCO

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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	26,119	22,578	0	0	3,541	0
Annual Time Burden (Hours)	98,886	64,157	0	0	34,729	0
Annual Cost Burden (Dollars)	821,470	905,674	0	0	-84,204	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 is revising its burden estimate for this collection to reflect current market data and to reflect updated costs. The Commission believes that the burden under this clearance will increase because of an increase in the total number of respondents and a rise in mean hourly wage rates based on updated Bureau of Labor Statistics wage data. The Commission estimates an increase from one application for full DCO registration (in 2023) to 10 applications for full DCO registration under Subpart A of Part 39 of the Commission’s Regulations. For Subpart B reporting and recordkeeping, the total burden increased due to the change from 13 DCOs (in 2023) to the current 24 DCOs. Increases in mean hourly wage rates have also increased the annual burden cost. These increases in applications and registrations result in an incremental increase of 34,729 burden hours annually for a new total of 98,886 burden hours. In addition, the Commission is updating its estimate of associated annual cost burdens to reflect estimated capital start-up and operations and maintenance costs.

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Annual Cost to Federal Government: $1,165,000

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.     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: 10/29/2026

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