Registration Statement for Persons Who Extend Credit Secured by Margin Stock (Other Than Banks, Brokers, or Dealers) Deregistration Statement for Persons Registered Pursuant to Reg U, and Annual Rpt

Forms and Documents

Document Name	Status
Form FR G-1 Registration Statement for Persons Who Extend Credit Secured by Margin Stock (Other Than Banks, Brokers, or Dealers) Form and Instruction	Modified
Form FR G-4 Annual Report Form and Instruction	Modified
Form FR G-2 Deregistration Statement for Persons Registered Pursuant to Regulation U Form and Instruction	Modified
FRG1_G2_G4_201409_83c.pdf Justification for No Material/Nonsubstantive Change	2014-09-11

IC Document Collections

IC ID	Document Title	Status
35984	Registration Statement for Persons Who Extend Credit Secured by Margin Stock (Other Than Banks, Brokers, or Dealers) Form and Instruction	Modified
182651	Annual Report Form and Instruction	Modified
182650	Deregistration Statement for Persons Registered Pursuant to Regulation U Form and Instruction	Modified

ICR Details

OMB Control No: 7100-0011	ICR Reference No: 201409-7100-003
Status: Historical Active	Previous ICR Reference No: 201010-7100-008
Agency/Subagency: FRS	Agency Tracking No: FR G-1, FR G-2, and FR G-4
Title: Registration Statement for Persons Who Extend Credit Secured by Margin Stock (Other Than Banks, Brokers, or Dealers) Deregistration Statement for Persons Registered Pursuant to Reg U, and Annual Rpt
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Delegated
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/12/2014
	Date Received in OIRA: 09/12/2014
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2015	01/31/2015	01/31/2015
Responses	89	0	632
Time Burden (Hours)	160	0	1,207
Cost Burden (Dollars)	0	0	0

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Abstract: The Securities Exchange Act of 1934 ('34 Act) authorizes the Federal Reserve to regulate securities credit issued by banks, brokers and dealers, and other lenders. Lenders also must register and deregister with the Federal Reserve using the FR G-1 and FR G-2, respectively, and must file an annual report (FR G-4).

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Authorizing Statute(s): US Code: 15 USC 78g 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:
	75 FR 63181	10/14/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 81606	12/28/2010
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 3

IC Title	Form No.	Form Name
Deregistration Statement for Persons Registered Pursuant to Regulation U	FR G-2	Deregistration Statement for Persons Registered Pursuant to Regulation U
Annual Report	FR G-4	Annual Report
Registration Statement for Persons Who Extend Credit Secured by Margin Stock (Other Than Banks, Brokers, or Dealers)	FR G-1	Registration Statement for Persons Who Extend Credit Secured by Margin Stock (Other Than Banks, Brokers, or Dealers)

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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	89	632	0	0	-543	0
Annual Time Burden (Hours)	160	1,207	0	0	-1,047	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: Decrease in burden hours reflects update to respondent count based on actual number of reporting forms received in 2013.

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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]? 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: 09/12/2014

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