Annual Report for Chief Compliance Officer of Registrants

Forms and Documents

Document Name	Status
Form 8-R Annual Report for Chief Compliance Officer of Registrants Form and Instruction	Modified
2025 Supporting Statement 3038-0080.docx Supporting Statement A	2025-06-23

IC Document Collections

IC ID	Document Title	Status
195308	Annual Report for Chief Compliance Officer of Registrants Form and Instruction	Modified

ICR Details

OMB Control No: 3038-0080	ICR Reference No: 202505-3038-002
Status: Received in OIRA	Previous ICR Reference No: 202207-3038-004
Agency/Subagency: CFTC	Agency Tracking No:
Title: Annual Report for Chief Compliance Officer of Registrants
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: 06/26/2025

	Requested	Previously Approved
Expiration Date	36 Months From Approved	08/31/2025
Responses	840	830
Time Burden (Hours)	169,008	166,996
Cost Burden (Dollars)	0	0

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Abstract: On April 3, 2012, the Commission adopted Regulation 3.3 (Chief Compliance Officer) under sections 4d(d) and 4s(k) of the Commodity Exchange Act (“CEA”). Commission Regulation 3.3 requires each futures commission merchant (“FCM”), swap dealer (‘‘SD’’), and major swap participant (“MSP”) to designate, by filing a Form 8–R, a chief compliance officer (“CCO”) who is responsible for: (1) developing and administering each registrant’s policies and procedures that fulfill certainrelating to its business as a duties of the SD, MSP, or FCM and that are reasonably designed to ensure the registrant’s compliance withrequired to be established pursuant to the CEA and Commission regulations; (2) taking reasonable steps to resolve material conflicts of interest relating to the registrant’s business as a SD, MSP, or FCM; (3) taking reasonable steps to ensure compliance with the CEA and Commission regulations relating to the registrant’s business as a SD, MSP, or FCM; (4) taking reasonable steps to ensure the registrant establishes, maintains, and reviews written policies and procedures reasonably designed to remediate establishing procedures for the remediation of noncompliance issues identified by the chief compliance officerCCO; (5) taking reasonable steps to ensure the registrant establishing establishes procedures for the handling, management response, remediation, retesting, and closing of noncompliance issues; (6) preparing, signing, certifying, furnishing to the board of directors, senior officers, and (if applicable) audit committee, and filing with the Commission an annual compliance report that contains the information specified in the regulations Commission regulation 3.3(e; ). Commission regulation 3.3 also requires that SDs, MSPs, and FCMs: (1) amending the annual report if material errors or omissions are identified; and (2) request that the Commission grant an extension of time to furnish the annual report, if failure to timely furnish could not be eliminated without unreasonable effort or expense; and (3) maintaining records of the registrant’s compliance policies and procedures and records related to the annual report. The information collection obligations imposed by Commission Regulation 3.3 are essential to ensuring that FCMs, SDs, and MSPs maintain comprehensive policies and procedures that promote compliance with the CEA and Commission regulations. In particular, the Commission believes that, among other things, these obligations (i) promote compliance behavior through periodic self-evaluation, (ii) inform the Commission of possible compliance weaknesses, (iii) assist the Commission in determining whether the registrant remains in compliance with the CEA and Commission regulations, and (iv) help the Commission to assess whether the registrant has mechanisms in place to adequately address compliance problems that could lead to a failure of the registrant.

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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 6d(d) and 6s(k) 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 15139	04/08/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 27288	06/26/2025
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Annual Report for Chief Compliance Officer of Registrants	8-R	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	840	830	0	0	10	0
Annual Time Burden (Hours)	169,008	166,996	0	0	2,012	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. The total number of respondents (Commission-registered SDs, MSPs, and FCMs) has increased from 166 to 168 since the previous renewal. As a result of this increase, the overall burden estimate for this collection has increased from 166,996 to 169,008 annual burden hours.

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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.     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: 06/26/2025

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