Registration under the Commodity Exchange Act

Forms and Documents

Document Name	Status

No forms / supporting documents in this ICR. Check IC Document Collections.

IC Document Collections

IC ID	Document Title	Status
220868	Alternative to Fingerprinting Requirement For Foreign Natural Persons	Modified
201477	Registration of Persons Other Than Swap Dealers and Major Swap Participants Form and Instruction	Modified

ICR Details

OMB Control No: 3038-0023	ICR Reference No: 202512-3038-002
Status: Received in OIRA	Previous ICR Reference No: 202210-3038-001
Agency/Subagency: CFTC	Agency Tracking No:
Title: Registration under the Commodity Exchange Act
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: 02/09/2026

	Requested	Previously Approved
Expiration Date	36 Months From Approved	04/30/2026
Responses	8,972	12,258
Time Burden (Hours)	5,726	7,852
Cost Burden (Dollars)	0	0

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Abstract: The Commodity Exchange Act (“CEA”) requires commodity interest market intermediaries and participants to register with the Commodity Futures Trading Commission (“Commission” or “CFTC”), including: Futures commission merchants and introducing brokers (7 U.S.C. 6d); Commodity pool operators and commodity trading advisors (7 U.S.C. 6(1)); Retail foreign exchange dealers (7 U.S.C. 2(c)); Associated persons (7 U.S.C. 6k); Floor traders or floor brokers (7 U.S.C. 6e); and Swap dealers and major swap participants (7 U.S.C. 6s(a)). The CFTC uses various forms (Forms 7-R, 8-R, 7-W and 8-T) for registration (and withdrawal therefrom) (the “Registration Forms”). OMB Control No. 3038-0023 applies to the Registration Forms for registration of persons other than swap dealers and major swap participants.

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Authorizing Statute(s): US Code: 7 USC 6e, 6f, 6k, 6m, 6n, 6s Name of Law: CEA
   US Code: 7 USC 12a Name of Law: CEA
   US Code: 7 USC 13c Name of Law: CEA
   PL: Pub.L. 110 - 246 122 Stat., 1651, 2189-2204 Name of Law: Food Conservation and Energy 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:
	90 FR 56137	12/05/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 5730	02/09/2026
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

IC Title	Form No.	Form Name
Alternative to Fingerprinting Requirement For Foreign Natural Persons
Registration of Persons Other Than Swap Dealers and Major Swap Participants	Form 8-R, Form 7-R	Firm Application ,   Individual Application

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ICR Summary 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	8,972	12,258	0	0	-3,286	0
Annual Time Burden (Hours)	5,726	7,852	0	0	-2,126	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, but the Commission has updated its burden estimates based on changes in the total number of respondents subject to the collection. As described in Attachment A, the total number of respondents for this renewal period is estimated to be 55,561 (this represents a reduction of 22,494 respondents from the previous estimate of 78,055). As a result of this reduction, the overall burden of this collection has decreased from 7,852 annual burden hours to 5,726 burden hours (a reduction of 2,126 hours). The Commission has also updated its estimate of associated hourly labor costs using updated Bureau of Labor Statistics (BLS) wage rates. The total burden estimate reflects the average number of hours per response across all of the registration forms (Forms 7-R, 8-R, 7-W, and 8-T), which is consistent with the historical practice of the Commission of addressing the burden estimates in the aggregate, rather than separately on a form-by-form basis. The four Commission registration forms (Forms 7-R, 8-R, 7-W, and 8-T), are filed on an “as needed” basis, upon registering or when registration information changes, including withdrawal of registration.

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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]? 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: 02/09/2026

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