OMB.report

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 201603-1557-005 · OMB 1557-0309 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
1557-0309 2-8-16.doc Supporting Statement A Uploaded 2017-02-13 Available
IC Document Collections
IC IDCollectionTypeStatusForm
209660 Section 11(a)(8)(i) - Covered Fund Disclosures - Ongoing Burden Unchanged
209659 Section 11(a)(8)(i) - Covered Fund Disclosures - Initial Set-up Unchanged
209658 Section 20(f)(2) - Compliance Program for Entities with Modest Activities -Ongoing Burden Unchanged
209657 Section 20(f)(2) - Compliance Program for Entities with Modest Activities - Initial Set-up Unchanged
199647 Section 20(f)(1) - Compliance Program for Entities with No Covered Activities - Ongoing Burden Unchanged
199646 Section 20(f)(1) - Compliance Program for Entities with No Covered Activities - Initial Set-up Unchanged
199645 Section 20(e) - Additional Documentation for Covered Funds - Ongoing Burden Unchanged
199643 Section 20(e) - Additional Documentation for Covered Funds - Initial Set-up Unchanged
199642 Section 5(c) - Documentation of Purchases and Sales - Ongoing Burden Unchanged
199641 Section 5(c) - Documentation of Purchases and Sales - Initial Set-up Unchanged
199640 Section 4(b)(3)(i)(A) - Trading Desk Documentation of Client, Customer or Counterparty - Ongoing Burden Unchanged
199639 Section 4(b)(3)(i)(A) - Trading Desk Documentation of Client, Customer or Counterparty - Initial Set-up Unchanged
199638 Section 3(d)(3) - Liquidity Management Plan - Ongoing Burden Unchanged
199637 Section 3(d)(3) - Liquidity Management Plan - Initial Set-up Unchanged
199636 Section 11(a)(2) - Documentation of Advisory Services - Ongoing Burden Unchanged
199635 Section 11(a)(2) - Documentation of Advisory Services - Initial Set-up Unchanged
199634 Section 12(e) - Application for Extension of Time to Meet Requirements on Ownership Limitations - Ongoing Burden Unchanged
199633 Section 12(e) - Application for Extension of Time Meet Requirements on Ownership Limitiations - Initial Set-up Unchanged
ICR Details
1557-0309 201603-1557-005
Historical Active 201311-1557-007
TREAS/OCC
Reporting, Recordkeeping, and Disclosure Requirements Associated with Restrictions on Proprietary Trading and Certain Relationships with Hedge Funds and Private Equity Funds
Extension without change of a currently approved collection   No
Regular
Approved without change 05/03/2017
Retrieve Notice of Action (NOA) 02/22/2017
  Inventory as of this Action Requested Previously Approved
05/31/2020 36 Months From Approved 05/31/2017
2,607 0 2,607
28,016 0 28,016
0 0 0
This collection of information was 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. There have been no changes to these regulations and this collection is being renewed without change.
PL: Pub.L. 111 - 203 619 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
  
None
Not associated with rulemaking
  81 FR 81863 11/18/2016
82 FR 11395 02/22/2017
No
18
IC Title Form No. Form Name
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 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)(8)(i) - Covered Fund Disclosures - 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)(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
Section 20(f)(2) - Compliance Program for Entities with Modest Activities -Ongoing Burden
  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 2,607 0 0 0 0
Annual Time Burden (Hours) 28,016 28,016 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
No
No
No
Yes
No
Uncollected
Mark O'Horo 202 649-7821 mark.o'[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.
02/22/2017