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Federal forms, ICRs, and supporting documents

Information Collection Request

Recordkeeping and Disclosure Requirements Associated with Securities Transactions Pursuant to Regulation H

ICR 200708-7100-002 · OMB 7100-0196 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
RegH3.20070822_83c.pdf Justification for No Material/Nonsubstantive Change Uploaded 2007-08-22 Repair queued
IC Document Collections
IC IDCollectionTypeStatusForm
36201 Recordkeeping - SMBs w/ Trust Depts & SMTC (Securities transactions 208.34(c)) Modified
181520 Disclosure Burden SMBs w/o Trust Depts (Securities transactions (208.34(d))) New
180969 Disclosure Burden SMBs w/ Trust Depts and SMTC (Securities transactions (208.34(d))) Modified
180968 Recordkeeping - SMBs w/o Trust Depts (Employee quarterly report (208.34(g))) Modified
180967 Recordkeeping - SMBs w/o Trust Depts (Policies and procedures (208.34(g))) Modified
180966 Recordkeeping - SMBs w/o Trust Depts (Securities transactions - Records (208.34(c))) Modified
180965 Recordkeeping - SMBs w/ Trust Depts & SMTC (Employee quarterly report (208.34(g))) Modified
180964 Recordkeeping - SMBs w/ Trust Depts & SMTC (Policy and procedures (208.34(g)) Modified
ICR Details
7100-0196 200708-7100-002
Historical Active 200706-7100-006
FRS Reg H-3
Recordkeeping and Disclosure Requirements Associated with Securities Transactions Pursuant to Regulation H
No material or nonsubstantive change to a currently approved collection   No
Delegated
Approved without change 08/23/2007
Retrieve Notice of Action (NOA) 08/23/2007
  Inventory as of this Action Requested Previously Approved
10/31/2007 10/31/2007 10/31/2007
36,040 0 2,880,547
102,359 0 145,403
0 0 0
State-chartered member banks and trust companies effecting securities transactions for customers must establish and maintain a system of records, furnish confirmations to customers, and establish written policies and procedures relating to securities trading. They are required to maintain records for three years following the transaction.
US Code: 12 USC 325 Name of Law: Federal Deposit Insurance Act
  
None
Not associated with rulemaking
No
  Total Approved 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 36,040 2,880,547 0 0 -2,844,507 0
Annual Time Burden (Hours) 102,359 145,403 0 0 -43,044 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
Decrease in burden hours reflects update to the Reg H-3 respondent count. In addition, the calculations for the estimated frequency of responses and estimated average hours per response were reviewed using current data and adjusted accordingly. The decrease in burden is not attributed to a program change.
$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
John Schmidt 202-728-5859 [email protected]
  No
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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
08/23/2007