Electronic Data Collection System-Tips, Complaints, Referrals (TCR)

Forms and Documents

Document Name	Status
6 2014 TCR SS.pdf Supporting Statement A	2014-06-23

IC Document Collections

IC ID	Document Title	Status
194909	Tips, Complaints and Referral Database-TCR Other-Web Form	Modified

ICR Details

OMB Control No: 3235-0672	ICR Reference No: 201309-3235-005
Status: Historical Active	Previous ICR Reference No: 201103-3235-003
Agency/Subagency: SEC	Agency Tracking No: EN-270-621
Title: Electronic Data Collection System-Tips, Complaints, Referrals (TCR)
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: 10/22/2014
	Date Received in OIRA: 06/23/2014
Terms of Clearance: OMB approves this collection with the understanding that SEC will update the Privacy Act statement before the electronic web interface is launched. SEC should also migrate the paper Form TCR from 3235-0686 into this collection before seeking renewal.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2017	36 Months From Approved	10/31/2014
Responses	13,120	0	25,000
Time Burden (Hours)	6,560	0	12,500
Cost Burden (Dollars)	0	0	0

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Abstract: The Securities and Exchange Commission utilizes an Electronic Data Collection System, a Tips and Complaints Referral database. The database supports information provided by the general public that would like to file a tip or fraud complaint with the SEC. The database is a web based e-filed dynamic report based on current technology that pre-populates and establishes a series of questions based on the data that the individual enters. The individual will then complete specific information on the subject(s) and nature of the suspicious activity, using the data elements appropriate to the type of tip or complaint. The information collection is voluntary. A paper form is also available and has been approved under OMB Control number 3235-0686.

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Authorizing Statute(s): None

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:
	79 FR 19129	04/07/2014
30-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 33789	06/12/2014
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Tips, Complaints and Referral Database-TCR

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ICR Summary 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	13,120	25,000	0	0	-11,880	0
Annual Time Burden (Hours)	6,560	12,500	0	0	-5,940	0
Annual Cost Burden (Dollars)	0	0	0	0	0	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: No

Burden Reduction Due to:

Short Statement: The reduction of 5,940 hours is due to the differnce between the estimated number of complaints received and the actual number that was received in the past three years.

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Annual Cost to Federal Government: $3,196,938

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]? No

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: 06/23/2014

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