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Federal forms, ICRs, and supporting documents

Information Collection Request

Recordkeeping and Confirmation Requirements for Securities Transactions

ICR 202109-3064-006 · OMB 3064-0028 · Received in OIRA

Forms and Documents
DocumentTypeStatusAvailability
FR2-0028 Securities Transactions 86 FR 67707 Nov 22 2021.pdf Supplementary Document Uploaded 2021-11-28 Missing upstream
FR1-00~1.PDF Supplementary Document Uploaded 2021-11-23 Missing upstream
3064-0028 SPST FINAL (2021) (WP).docx Supporting Statement A Uploaded 2021-11-28 Repair queued
IC Document Collections
IC IDCollectionTypeStatusForm
31777 Recordkeeping and Confirmation Requirements for Securities Transactions - 344.4 Removed
233231 Officer/Employee Filing of Reports of Personal Securities Trading Transactions - 344.9 (assumes 5 officers/employees at each institution with income from securities broker activity) Modified
233230 Provide Customer with Copy of Broker/Dealer Confirmation and Remuneration Received OR Written Notification or Alternative Notification - 344.5 and 344.6 Removed
233229 Maintain Securities Trading Policies and Procedures - 344.8 Modified
ICR Details
3064-0028 202109-3064-006
Received in OIRA 201804-3064-004
FDIC 3064-0028
Recordkeeping and Confirmation Requirements for Securities Transactions
Revision of a currently approved collection   No
Regular 11/29/2021
  Requested Previously Approved
36 Months From Approved 11/30/2021
8,983 38,080
8,983 65,280
0 0
The collection of information requirements are contained in 12 CFR Part 344. The purpose of the regulation is to ensure that purchasers of securities in transactions affected by insured state nonmember banks are provided with adequate records concerning the transactions. The regulation is also designed to ensure that insured state nonmember banks maintain adequate records and controls with respect to the securities transactions they effect. Finally, this regulation requires officers and employees of FDIC-supervised institutions to report to the FDIC-supervised institution certain personal securities trading activity.
None
None
Not associated with rulemaking
  86 FR 53300 09/27/2021
86 FR 67707 11/29/2021
No
  Total Request 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 8,983 38,080 0 0 -29,097 0
Annual Time Burden (Hours) 8,983 65,280 0 0 -56,297 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
$0
No
    No
    No
No
No
No
No
Manuel Cabeza 202 898-3781 [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.
11/29/2021