Securities Exchange Act Disclosure Rules (12 CFR 11 and 12 CFR 194)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
1557-0106 - Supporting Statement.docx	Supporting Statement A	Uploaded 2013-01-14	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
205026	Form 15 - Certification and Notice of Termination of Registration		New
205025	Form 8 K - Current Report		New
205024	Schedules 14A and 14C - Proxy – Information Statement		New
205023	Form 10 Q - Quarterly Report		New
205022	Form 10 K - Annual Report		New
205021	Form 10 - Registration Statement		New
205020	Schedule 13D and Schedule 13G Reporting - Acquisition Statement		New
205019	Form 5 - Annual Report of Transactions		New
205018	Form 4 - Statement of Changes in Beneficial Ownership		New
20026	Form 3 - Initial Report of Beneficial Ownership		Modified

ICR Details

OMB Control No: 1557-0106	ICR Reference No: 201210-1557-001
Status: Historical Active	Previous ICR Reference No: 201109-1557-004
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Securities Exchange Act Disclosure Rules (12 CFR 11 and 12 CFR 194)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 04/10/2013
	Date Received in OIRA: 01/14/2013
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2016	36 Months From Approved	04/30/2013
Responses	78	0	390
Time Burden (Hours)	523	0	27,314
Cost Burden (Dollars)	0	0	0

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Abstract: 12 CFR Part 11 requires registered national banks 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: PL: Pub.L. 111 - 203 124 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

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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:
	77 FR 65054	10/24/2012
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 2719	01/14/2013
Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

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

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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	78	390	0	-312	0	0
Annual Time Burden (Hours)	523	27,314	0	-26,791	0	0
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: Changing Regulations

Short Statement: The decrease in burden is due to the re-estimation of the burden carried by the Office of Thrift Supervision ("OTS") prior to the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act and the enactment of the JOBS Act as described below. On April 5, 2012, the Jumpstart Our Business Startups Act (the "JOBS Act") amended the Securities Exchange Act of 1934 ("Exchange Act") to raise the initial registration threshold for national banks and Federal savings associations under section 12(g) of the Exchange Act to 2,000 holders of record. It also amended the Exchange Act to allow registered national banks and Federal savings associations with less than 1,200 holders of record to terminate Exchange Act Section 12(g) registration. The JOBS Act was effective on enactment. Former burden: 147 respondents; 390 responses, 27,314 burden hours New burden: 14 respondents; 78 responses; 523 burden hours Difference: - 133 respondents; - 312 responses; - 26,791.5 burden hours

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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]? No

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

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

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: 01/14/2013

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