OMB control number

Recordkeeping Requirements for Securities Transactions

OMB 1557-0142 · TREAS/OCC.

OMB 1557-0142

The information collection requirements in 12 CFR parts 12 and 151 are required to ensure that national banks and Federal savings associations comply with securities laws and to improve the protections afforded to persons who purchase and sell securities through these financial institutions. Parts 12 and 151 contain recordkeeping and confirmation requirements applicable to certain securities transactions effected by national banks or Federal savings associations for customers.

The latest form for Recordkeeping Requirements for Securities Transactions expires 2026-06-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
1557-0142 Supporting Statement for Recordkeeping Req for Sec Trans (Final).docx Supporting Statement A
1557-0142 30-Day FRN for Recordkeeping Req. for Sec. Trans. (91 FR 23346).pdf Supplementary Document
1557-0142 60-Day FRN for Recordkeeping Req. for Sec. Trans. (91 FR 8307).pdf Supplementary Document
Recordkeeping Requirements for Securities Transactions

All Historical Document Collections

202604-1557-004	Extension without change of a currently approved collection	2026-04-30
202302-1557-001 Approved without change	Extension without change of a currently approved collection	2023-02-03
202002-1557-005 Approved without change	Extension without change of a currently approved collection	2020-04-15
201608-1557-008 Approved without change	Revision of a currently approved collection	2017-01-23
201601-1557-006 Comment filed on proposed rule and continue	Revision of a currently approved collection	2016-03-14
201501-1557-004 Approved without change	Extension without change of a currently approved collection	2015-05-13
201112-1557-001 Approved without change	Extension without change of a currently approved collection	2012-04-05
201109-1557-001 Approved without change	No material or nonsubstantive change to a currently approved collection	2011-09-14
200902-1557-001 Approved without change	Revision of a currently approved collection	2009-03-26
200601-1557-003 Approved without change	Revision of a currently approved collection	2006-01-26
200301-1557-003 Approved without change	Extension without change of a currently approved collection	2003-01-23
199911-1557-001 Approved without change	Extension without change of a currently approved collection	1999-11-29
199512-1557-003 Approved without change	Revision of a currently approved collection	1995-12-22
199509-1557-002 Approved without change	Extension without change of a currently approved collection	1995-09-01
199508-1557-002 Approved with change	No material or nonsubstantive change to a currently approved collection	1995-08-17
199209-1557-003 Approved without change	Revision of a currently approved collection	1992-09-04
199103-1557-011 Approved with change	No material or nonsubstantive change to a currently approved collection	1991-03-06
198904-1557-001 Approved without change	Revision of a currently approved collection	1989-04-21
198705-1557-002 Approved without change	Revision of a currently approved collection	1987-05-19
198602-1557-016 Approved with change	No material or nonsubstantive change to a currently approved collection	1986-02-18
198406-1557-002 Approved without change	Revision of a currently approved collection	1984-06-01
198110-1557-005 Approved without change	New collection (Request for a new OMB Control Number)	1981-10-16