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Cards Wire 6 segments
0:15
CFTC Federal Register — CFTC Source document ↗
United States Federal Register — CFTC Markets & Infrastructure ✓ 22 claims 29 Oct 2026

CFTC seeks OMB clearance to renew ownership and control reporting forms

The CFTC has forwarded its Ownership and Control Reports information collection to OMB's regulatory review office for a routine renewal under the Paperwork Reduction Act. The notice sets out which rules and forms are covered, the Commission's burden estimates, and its response to the single comment received during the earlier 60-day window. Compliance teams at FCMs, clearing members and swap reporting entities should note the comment deadline.

  • Comments to OIRA are due on or before November 30, 2026, under OMB Control No. 3038-0103.
  • The collection covers Forms 102A, 102B, 102S, 40, 40S and 71 arising under §§ 17.01, 18.04, 18.05 and 20.5.
  • The CFTC estimates 1,779 respondents, 102 average burden hours per respondent, and 188,980 total annual burden hours, on occasion.
  • One anonymous commenter said the burden analysis aggregated seven instruments across 1,779 heterogeneous entities without itemising form-specific burden; the Commission is retaining its estimates.
  • The 60-Day Notice was published August 6, 2026 at 91 FR 50813.
Source document
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CFTC Federal Register — CFTC Source document ↗
United States Federal Register — CFTC Markets & Infrastructure ✓ 25 claims 29 Oct 2026

CFTC doubles its estimate of registered derivatives clearing organizations

This Federal Register notice renews a long-standing information collection covering DCO registration and ongoing reporting under CFTC Part 39. Behind the procedural language sits a sharp revision to the agency's own count of market participants, plus a pointed rejection of a request to use the process to impose new tokenized-collateral recordkeeping rules.

  • The Commission increased its estimate of registered DCOs from 13 to 24 and full-registration applicants from one to 10, based on data as of July 2026.
  • Total estimated annual burden hours for the collection rose to 98,886 across an estimated 109 respondents filing 26,119 annual responses.
  • Capital and start-up or operations and maintenance costs associated with the collection are estimated at $821,470.
  • A commenter's request to add recordkeeping and risk-analysis requirements for tokenized collateral, based on CFTC Staff Letter No. 25-39, was rejected because that guidance creates no additional rights or requirements.
  • Comments on the extension are due to OIRA by November 30, 2026, following an earlier 60-day comment period published August 6, 2026.
Source document
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CFTC Federal Register — CFTC Source document ↗
United States Federal Register — CFTC Markets & Infrastructure ✓ 20 claims 26 Oct 2026

CFTC keeps swap data reporting burden estimate despite data accuracy challenge

A routine Paperwork Reduction Act notice turns substantive: two commenters challenged whether swap data reported under CFTC part 45 is even truthful, and whether the Commission's burden estimates hold up. The CFTC rejected both without changing its numbers. This is a quick read for anyone whose firm reports under 3038-0096.

  • Comments on the renewed collection must be submitted to OIRA by November 5, 2026.
  • The Commission estimates 1,732 respondents with an average of 839 burden hours each, totalling 1,452,730 annual burden hours as stated in the notice.
  • Two commenters during the prior 60-day review period challenged the accuracy of reported swap data and the Commission's cost estimates, but the CFTC found neither provided supporting evidence.
  • The collection applies to swap dealers, major swap participants, SEFs, DCMs, DCOs and non-SD/MSP/DCO counterparties under part 45, adopted in 2012 and amended by final rule in 2020.
  • The Commission states there are no capital costs or operating and maintenance costs associated with this collection.
Source document
0:15
CFTC Federal Register — CFTC Source document ↗
United States Federal Register — CFTC Digital Assets ✓ 20 claims 21 Oct 2026

CFTC launches rulemaking to bring retail crypto trading onto regulated exchanges

The CFTC has issued an advanced notice of proposed rulemaking on section 2(c)(2)(D) of the Commodity Exchange Act, signaling intent to write fit-for-purpose rules for crypto asset transactions and markets. Compliance and legal teams at exchanges, intermediaries and crypto trading venues should read this to understand the direction of a framework that could require retail crypto transactions to move onto designated contract markets.

  • Comments on the ANPRM, filed under RIN 3038-AF80, must be received by the CFTC on or before December 14, 2026.
  • The notice proposes two new frameworks: Regulation Crypto Asset Transactions (Regulation CTX) and Regulation Crypto Asset Markets (Regulation CAM).
  • The Commission states the President's Working Group on Digital Asset Markets directed it to use existing rulemaking and exemptive authorities to enable crypto asset trading.
  • The notice states that in June 2016 the Commission charged BFXNA Inc. (Bitfinex) with violations of the on-exchange requirement, the first application of section 2(c)(2)(D) to a crypto exchange.
  • The Commission states that CME and Cboe self-certified cash-settled bitcoin futures in December 2017, the first regulated U.S. bitcoin derivatives products.
Source document
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CFTC Federal Register — CFTC Source document ↗
United States Federal Register — CFTC Markets & Infrastructure ✓ 19 claims 20 Oct 2026

CFTC carves casino-style gambling out of swap definition in immediate interim rule

The CFTC has moved to settle a jurisdictional fight over event contracts by amending the swap definition to exclude casino-style gambling. The rule took effect on publication without prior notice-and-comment, and the Commission has paired it with a separate proposal to define event contracts as swaps. This segment covers what the new paragraph (7) requires, the two-part test it imposes, and the litigation driving the urgency.

  • The interim final rule adds paragraph (7) to the swap definition in 17 CFR 1.3, excluding licensed casino-style gambling products including sports wagers and casino games.
  • The rule became effective on October 19, 2026 under the APA good-cause exception, with comments due by November 18, 2026.
  • Exclusion requires satisfying both a Provider Test (State- or Tribe-licensed operator, regulated as gaming under that law) and a Product Test (not traded multilaterally or subject to individual negotiation).
  • The Commission issued a separate Notice of Proposed Rulemaking the same day proposing to define event contracts as swaps.
  • The rule does not further define 'security-based swap' and does not presume that a product failing the exclusion is necessarily a swap.
Source document
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CFTC Federal Register — CFTC Source document ↗
United States Federal Register — CFTC Markets & Infrastructure ✓ 19 claims 20 Oct 2026

CFTC proposes defining sports and election event contracts as swaps

The CFTC has issued a notice of proposed rulemaking to write event contracts, including those on sports, politics, cultural events and weather, directly into the regulatory definition of swap. The move lands amid a three-way circuit split and active state criminal and civil actions against prediction-market exchanges. Comments close November 18, 2026. This segment covers what the Commission is asserting, the authority it invokes, and where the jurisdictional fight stands.

  • Comments on the proposal, referencing RIN 3038-AF82, must be received by November 18, 2026.
  • The rule would add paragraph (2)(i)(G) to the swap definition in 17 CFR 1.3, naming event contracts based on sports, politics, cultural and weather events.
  • Three appeals courts have split: the Third Circuit found sports event contracts are swaps, while the Ninth and Sixth Circuits concluded they are likely not.
  • As of September 1, 2026 at least seven CFTC-registered DCMs offered sports-related event contracts, with more than fifteen DCM applications pending since 2025.
  • August 2026 average monthly event-contract volume was about $1.5 billion, of which roughly $1.2 billion was sports-related.
Source document