Securities Exchange Act Disclosure Rules

OMB Control No: 1557-0106	ICR Reference No: 202605-1557-001
Status: Received in OIRA	Previous ICR Reference No: 202205-1557-009
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Securities Exchange Act Disclosure Rules
Type of Information Collection: Reinstatement without change of a previously approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 06/01/2026

	Requested	Previously Approved
Expiration Date	36 Months From Approved
Responses	276	0
Time Burden (Hours)	628	0
Cost Burden (Dollars)	0	0

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Abstract: 12 CFR parts 11 requires national banks and federal savings associations 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.

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Authorizing Statute(s): 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

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 59322	12/18/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 32510	06/01/2026
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 10

IC Title Form No. Form Name Form 10 - Registration Statement Form 10 K - Annual Report Form 10 Q - Quarterly Report Form 15 - Certification and Notice of Termination of Registration Form 3 - Initial Report of Beneficial Ownership Form 4 - Statement of Changes in Beneficial Ownership Form 5 - Annual Report of Transactions Form 8 K - Current Report Schedule 13D and Schedule 13G Reporting - Acquisition Statement Schedules 14A and 14C - Proxy – Information Statement

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ICR Summary of Burden

	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	276	0	0	-6,369	0	6,645
Annual Time Burden (Hours)	628	0	0	295	0	333
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The change in burden is due to an increase in the number of respondents due to the entrance of a new institution into the reporting system.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

Agency Contact: Michael Dugas 202 874-5210

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Common Form ICR:  No

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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:
		(a) It is necessary for the proper performance of agency functions;
		(b) It avoids unnecessary duplication;
		(c) It reduces burden on small entities;
		(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
		(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
		(f) It indicates the retention periods for recordkeeping requirements;
		(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
			(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;
		(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
		(i) It uses effective and efficient statistical survey methodology (if applicable); and
		(j) It makes appropriate use of information technology.
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.
Certification Date: 06/01/2026

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