'34 Act Disclosures

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form G-FINW Notice By Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer	Form and Instruction	New	Available
Form G-FIN Notice By Financial Institutions of Government Securities Broker or Government Securities Dealer Activities	Form and Instruction	New	Available
1550-0019 (Supporting Statement).pdf	Supporting Statement A	Uploaded 0000-00-00	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
19835	34 Act Disclosures		Removed
179055	Annual Report		New
179054	G-FIN-5		New
179053	G-FIN-4		New
179052	G-FINW	Form and Instruction	New	Notice By Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer
179051	G-FIN	Form and Instruction	New	Notice By Financial Institutions of Government Securities Broker or Government Securities Dealer Activities
179050	Form 15 -- Deregistration		New
179049	Form 5 -- Beneficial Ownership		New
179048	Form 3 -- Beneficial Ownership		New
179047	Form 4 -- Beneficial Ownership		New
179044	Form 10-QSB		New
179043	Form 10-Q		New
179042	Form 12b-25 -- Extension		New
179041	Schedule 13E-3		New
179040	Schedule 13G -- Beneficial Ownership		New
179039	Schedule 13D -- Beneficial Ownership		New
179038	Form 10-KSB -- Annual Report		New
179037	Form 10-K -- Annual Report		New
179036	Form 10-SB -- Registration Statement		New
179035	Form 10 -- Registration Statement		New
179034	Form 8-K -- Current Report		New
179033	Form 8-A -- Registration Statement		New
179032	Schedule TO -- Tender Offer		New
179030	Schedule 14C		New
179029	Schedule 14A		New

ICR Details

OMB Control No: 1550-0019	ICR Reference No: 200703-1550-002
Status: Historical Active	Previous ICR Reference No: 200402-1550-001
Agency/Subagency: TREAS/OTS	Agency Tracking No:
Title: '34 Act Disclosures
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 05/29/2007
Retrieve Notice of Action (NOA)	Date Received in OIRA: 03/15/2007
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2010	36 Months From Approved	05/31/2007
Responses	286	0	401
Time Burden (Hours)	41,030	0	66,567
Cost Burden (Dollars)	4,103,000	0	6,657,000

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Abstract: OTS collects periodic disclosure documents required to be filed by savings associations pursuant to the Securities Exchange Act of 1934 on forms promulgated by the U.S. Securities and Exchange Commission for its registrants.

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Authorizing Statute(s): US Code: 15 USC 78a 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:
	71 FR 76435	12/20/2006
30-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 11430	03/13/2007
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 24

table that charts list of burden

IC Title	Form No.	Form Name
34 Act Disclosures	SCHEDULES-13D/, 13G/14A/14C/, 14D-1, FORMS-3/4/5/10, 10-SB/10-K, 10-KSB/8-K/8-A, 12B-25/10-Q, 10-QSB/15
Annual Report
Form 10 -- Registration Statement
Form 10-K -- Annual Report
Form 10-KSB -- Annual Report
Form 10-Q
Form 10-QSB
Form 10-SB -- Registration Statement
Form 12b-25 -- Extension
Form 15 -- Deregistration
Form 3 -- Beneficial Ownership
Form 4 -- Beneficial Ownership
Form 5 -- Beneficial Ownership
Form 8-A -- Registration Statement
Form 8-K -- Current Report
G-FIN	G-FIN	Notice By Financial Institutions of Government Securities Broker or Government Securities Dealer Activities
G-FIN-4
G-FIN-5
G-FINW	G-FINW	Notice By Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer
Schedule 13D -- Beneficial Ownership
Schedule 13E-3
Schedule 13G -- Beneficial Ownership
Schedule 14A
Schedule 14C
Schedule TO -- Tender Offer

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ICR Summary of Burden

table that charts list of 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	286	401	0	-401	286	0
Annual Time Burden (Hours)	41,030	66,567	0	-66,567	41,030	0
Annual Cost Burden (Dollars)	4,103,000	6,657,000	0	-6,657,000	4,103,000	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

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

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The change in burden from 66,567 hours to 41,030 hours reflects an adjustment in the number of savings associations regulated by OTS that are subject to the relevant Exchange Act reporting requirements and Annual Report requirements, as well as to the estimated hours per response.

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Annual Cost to Federal Government: $0

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

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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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: 03/15/2007

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