OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

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

ICR 201210-1557-001 · OMB 1557-0106 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
1557-0106 - Supporting Statement.docx Supporting Statement A Uploaded 2013-01-14 Repair queued
IC Document Collections
IC IDCollectionTypeStatusForm
205026 Form 15 - Certification and Notice of Termination of Registration New
205025 Form 8 K - Current Report New
205024 Schedules 14A and 14C - Proxy – Information Statement New
205023 Form 10 Q - Quarterly Report New
205022 Form 10 K - Annual Report New
205021 Form 10 - Registration Statement New
205020 Schedule 13D and Schedule 13G Reporting - Acquisition Statement New
205019 Form 5 - Annual Report of Transactions New
205018 Form 4 - Statement of Changes in Beneficial Ownership New
20026 Form 3 - Initial Report of Beneficial Ownership Modified
ICR Details
1557-0106 201210-1557-001
Historical Active 201109-1557-004
TREAS/OCC
Securities Exchange Act Disclosure Rules (12 CFR 11 and 12 CFR 194)
Revision of a currently approved collection   No
Regular
Approved without change 04/10/2013
Retrieve Notice of Action (NOA) 01/14/2013
  Inventory as of this Action Requested Previously Approved
04/30/2016 36 Months From Approved 04/30/2013
78 0 390
523 0 27,314
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
  77 FR 65054 10/24/2012
77 FR 2719 01/14/2013
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 78 390 0 -312 0 0
Annual Time Burden (Hours) 523 27,314 0 -26,791 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
Miscellaneous Actions
Yes
Changing Regulations
The decrease in burden is due to the re-estimation of the burden carried by the Office of Thrift Supervision ("OTS") prior to the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act and the enactment of the JOBS Act as described below. On April 5, 2012, the Jumpstart Our Business Startups Act (the "JOBS Act") amended the Securities Exchange Act of 1934 ("Exchange Act") to raise the initial registration threshold for national banks and Federal savings associations under section 12(g) of the Exchange Act to 2,000 holders of record. It also amended the Exchange Act to allow registered national banks and Federal savings associations with less than 1,200 holders of record to terminate Exchange Act Section 12(g) registration. The JOBS Act was effective on enactment. Former burden: 147 respondents; 390 responses, 27,314 burden hours New burden: 14 respondents; 78 responses; 523 burden hours Difference: - 133 respondents; - 312 responses; - 26,791.5 burden hours
$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.
01/14/2013