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Federal forms, ICRs, and supporting documents

Information Collection Request

Reporting, Recordkeeping, and Disclosure Requirements Associated with Restrictions on Proprietary Trading and Certain Relationships with Hedge Funds and Private Equity Funds

ICR 201311-1557-007 · OMB 1557-0309 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
Discussion of Comments.doc Supplementary Document Uploaded 2014-04-01 Available
1557-0309 4-1-14 #2.doc Supporting Statement A Uploaded 2014-04-01 Available
IC Document Collections
IC IDCollectionTypeStatusForm
209660 Section 11(a)(8)(i) - Covered Fund Disclosures - Ongoing Burden New
209659 Section 11(a)(8)(i) - Covered Fund Disclosures - Initial Set-up New
209658 Section 20(f)(2) - Compliance Program for Entities with Modest Activities -Ongoing Burden New
209657 Section 20(f)(2) - Compliance Program for Entities with Modest Activities - Initial Set-up New
199647 Section 20(f)(1) - Compliance Program for Entities with No Covered Activities - Ongoing Burden Modified
199646 Section 20(f)(1) - Compliance Program for Entities with No Covered Activities - Initial Set-up Modified
199645 Section 20(e) - Additional Documentation for Covered Funds - Ongoing Burden Modified
199643 Section 20(e) - Additional Documentation for Covered Funds - Initial Set-up Modified
199642 Section 5(c) - Documentation of Purchases and Sales - Ongoing Burden Modified
199641 Section 5(c) - Documentation of Purchases and Sales - Initial Set-up Modified
199640 Section 4(b)(3)(i)(A) - Trading Desk Documentation of Client, Customer or Counterparty - Ongoing Burden Modified
199639 Section 4(b)(3)(i)(A) - Trading Desk Documentation of Client, Customer or Counterparty - Initial Set-up Modified
199638 Section 3(d)(3) - Liquidity Management Plan - Ongoing Burden Modified
199637 Section 3(d)(3) - Liquidity Management Plan - Initial Set-up Modified
199636 Section 11(a)(2) - Documentation of Advisory Services - Ongoing Burden Modified
199635 Section 11(a)(2) - Documentation of Advisory Services - Initial Set-up Modified
199634 Section 12(e) - Application for Extension of Time to Meet Requirements on Ownership Limitations - Ongoing Burden Modified
199633 Section 12(e) - Application for Extension of Time Meet Requirements on Ownership Limitiations - Initial Set-up Modified
ICR Details
1557-0309 201311-1557-007
Historical Active 201107-1557-070
TREAS/OCC
Reporting, Recordkeeping, and Disclosure Requirements Associated with Restrictions on Proprietary Trading and Certain Relationships with Hedge Funds and Private Equity Funds
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 04/01/2014
Retrieve Notice of Action (NOA) 01/31/2014
  Inventory as of this Action Requested Previously Approved
04/30/2017 36 Months From Approved
2,607 0 0
28,016 0 0
0 0 0
This collection of information is being established pursuant to a notice of proposed rulemaking required by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), which was enacted on July 21, 2010. Section 619 of the Dodd-Frank Act contains certain prohibitions and restrictions on the ability of a banking entity and nonbank financial company supervised by the Board of Governors of the Federal Reserve System (Board) to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund.
PL: Pub.L. 111 - 203 619 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
  
PL: Pub.L. 111 - 203 619 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
1557-AD44 Final or interim final rulemaking 79 FR 5536 01/31/2014
No
18
IC Title Form No. Form Name
Section 12(e) - Application for Extension of Time Meet Requirements on Ownership Limitiations - Initial Set-up
Section 12(e) - Application for Extension of Time to Meet Requirements on Ownership Limitations - Ongoing Burden
Section 11(a)(2) - Documentation of Advisory Services - Initial Set-up
Section 4(b)(3)(i)(A) - Trading Desk Documentation of Client, Customer or Counterparty - Initial Set-up
Section 4(b)(3)(i)(A) - Trading Desk Documentation of Client, Customer or Counterparty - Ongoing Burden
Section 11(a)(2) - Documentation of Advisory Services - Ongoing Burden
Section 3(d)(3) - Liquidity Management Plan - Initial Set-up
Section 20(f)(1) - Compliance Program for Entities with No Covered Activities - Initial Set-up
Section 3(d)(3) - Liquidity Management Plan - Ongoing Burden
Section 5(c) - Documentation of Purchases and Sales - Initial Set-up
Section 5(c) - Documentation of Purchases and Sales - Ongoing Burden
Section 20(e) - Additional Documentation for Covered Funds - Initial Set-up
Section 20(e) - Additional Documentation for Covered Funds - Ongoing Burden
Section 20(f)(2) - Compliance Program for Entities with Modest Activities -Ongoing Burden
Section 11(a)(8)(i) - Covered Fund Disclosures - Initial Set-up
Section 20(f)(1) - Compliance Program for Entities with No Covered Activities - Ongoing Burden
Section 11(a)(8)(i) - Covered Fund Disclosures - Ongoing Burden
Section 20(f)(2) - Compliance Program for Entities with Modest Activities - Initial Set-up
  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 2,607 0 2,607 0 0 0
Annual Time Burden (Hours) 28,016 0 28,016 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The increase in burden is due to the fact that this is a new collection.
No
No
No
Yes
No
Uncollected
Ursula Pfeil 202 649-6288
  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.
01/31/2014