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Federal forms, ICRs, and supporting documents

Information Collection Request

Securities Exchange Act Disclosure Rules (12 CFR 11 and 12 CFR 194)

ICR 201109-1557-004 · OMB 1557-0106 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
1557-0106Nonsub.change.doc Justification for No Material/Nonsubstantive Change Uploaded 2011-09-13 Repair queued
IC Document Collections
IC IDCollectionTypeStatusForm
20026 (MA)-Securities Exchange Act Disclosure Rules (12 CFR 11) Modified
ICR Details
1557-0106 201109-1557-004
Historical Active 200907-1557-002
TREAS/OCC
Securities Exchange Act Disclosure Rules (12 CFR 11 and 12 CFR 194)
No material or nonsubstantive change to a currently approved collection   No
Regular
Approved without change 09/22/2011
Retrieve Notice of Action (NOA) 09/14/2011
  Inventory as of this Action Requested Previously Approved
01/31/2013 01/31/2013 01/31/2013
390 0 185
27,314 0 1,131
0 0 0
12 CFR Part 11 requires registered national banks to file SEC forms concerning their securities transactions with the OCC. The OCC needs the information to ensure compliance with Federal law. Investors, depositors, and the public use the information to make informed investment decisions.
US Code: 15 USC 7241 et seq. Name of Law: Sarbanes-Oxley Act of 2002
   US Code: 15 USC 78l, 78m Name of Law: Securities Exchange Act of 1934
  
PL: Pub.L. 111 - 203 124 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
Not associated with rulemaking
  74 FR 41189 08/14/2009
74 FR 56922 11/03/2009
No
1
IC Title Form No. Form Name
(MA)-Securities Exchange Act Disclosure Rules (12 CFR 11)
  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 390 185 205 0 0 0
Annual Time Burden (Hours) 27,314 1,131 26,183 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The increase in burden is due to the integration of the OTS with the OCC. The additional respondents are entities formerly regulated by the OTS. The Securities and Exchange Commission (SEC) is required by statute to collect, through regulation, from any firm that is required to register its stock with the SEC certain information and documents. 15 U.S.C. 78m(a)(1). Federal law also requires the OCC to apply similar regulations to any national bank similarly required to be registered (those with a class of equity securities held by 500 or more shareholders). 15 U.S.C. 78l(i). Further, current and potential shareholders, depositors, and members of the public need the information in order to make informed investment and deposit decisions.
$0
No
No
No
Yes
No
Uncollected
Michael Dugas 202 874-5210
  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.
09/14/2011