Implementing Regulations: Government Securities Act of 1986, as amended

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form G-405 SCH I Report on Finances and Operations of Government Securities Brokers and Dealers	Form and Instruction	Modified	Available
Form G-405 PART III Report on Finances and Operations of Government Securities Brokers and Dealers	Form and Instruction	Modified	Available
Form G-405 PART IIA Report on Finances and Operations of Government Securities Brokers and Dealers	Form	Modified	Available
Form G-405 PART II Report on Finances and Operations of Government Securities Brokers and Dealers	Form	Modified	Available
Form G-405 PART I Report on Finances and Operations of Government Securities Brokers and Dealers	Form and Instruction	Modified	Available
Form G-FIN-5 Uniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or Dealer	Form and Instruction	Modified	Available
Form G-FIN-4 Disclosure Form for Person Associated with a Financial Institution Government Securities Broker or Dealer	Form and Instruction	Modified	Available
OMB-PRA Supporting Statement for Final LPR Rule (December 2014) OMB Control #1535-0089.doc	Supporting Statement A	Uploaded 2014-12-12	Available
PRA Submission - Attachments LPR Proposed Rule (April 2014).pdf	Supplementary Document	Uploaded 2014-12-11	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
39270	Implementing Regulations: Government Securities Act of 1986, as amended	Form and Instruction	Modified	Report on Finances and Operations of Government Securities Brokers and Dealers
39270	Implementing Regulations: Government Securities Act of 1986, as amended	Form and Instruction	Modified	Report on Finances and Operations of Government Securities Brokers and Dealers
39270	Implementing Regulations: Government Securities Act of 1986, as amended	Form	Modified	Report on Finances and Operations of Government Securities Brokers and Dealers
39270	Implementing Regulations: Government Securities Act of 1986, as amended	Form	Modified	Report on Finances and Operations of Government Securities Brokers and Dealers
39270	Implementing Regulations: Government Securities Act of 1986, as amended	Form and Instruction	Modified	Report on Finances and Operations of Government Securities Brokers and Dealers
39270	Implementing Regulations: Government Securities Act of 1986, as amended	Form and Instruction	Modified	Uniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or Dealer
39270	Implementing Regulations: Government Securities Act of 1986, as amended	Form and Instruction	Modified	Disclosure Form for Person Associated with a Financial Institution Government Securities Broker or Dealer
39270	Implementing Regulations: Government Securities Act of 1986, as amended	Instruction	Modified

ICR Details

OMB Control No: 1535-0089	ICR Reference No: 201410-1535-002
Status: Historical Active	Previous ICR Reference No: 201406-1535-001
Agency/Subagency: TREAS/BPD	Agency Tracking No: Final Rule
Title: Implementing Regulations: Government Securities Act of 1986, as amended
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: 07/06/2015
Retrieve Notice of Action (NOA)	Date Received in OIRA: 12/18/2014
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2018	36 Months From Approved	07/31/2016
Responses	8,293	0	8,285
Time Burden (Hours)	283,090	0	282,986
Cost Burden (Dollars)	0	0	0

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Abstract: The regulations require government securities broker/dealers to make and keep certain records concerning government securities activities, to submit financial reports, and make certain disclosures to investors. The regulations also require depository institutions to keep certain records of non-fiduciary custodial holdings of government securities. The regulations and associated collections are fundamental to customer protection and financial responsibility.

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Authorizing Statute(s): US Code: 17 USC CFR Title 17 Chapter IV
  

Citations for New Statutory Requirements: US Code: 15 USC 780-5 Name of Law: Government Securities Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
1505-AA00	Final or interim final rulemaking	79 FR 73408	12/10/2014

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

IC Title	Form No.	Form Name
Implementing Regulations: Government Securities Act of 1986, as amended	G-FIN-5, G-FIN-4, G-405 PART IIA, G-405 PART I, G-405 PART II, G-405 PART III, G-405 SCH I	Disclosure Form for Person Associated with a Financial Institution Government Securities Broker or Dealer ,   Uniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or Dealer ,   Report on Finances and Operations of Government Securities Brokers and Dealers ,   Report on Finances and Operations of Government Securities Brokers and Dealers ,   Report on Finances and Operations of Government Securities Brokers and Dealers ,   Report on Finances and Operations of Government Securities Brokers and Dealers ,   Report on Finances and Operations of Government Securities Brokers and Dealers

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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	8,293	8,285	8	0	0	0
Annual Time Burden (Hours)	283,090	282,986	104	0	0	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 104 hour annual burden increase is due to an increase in the estimated number of reporting entities that may be required to submit reports under the December 2014 final rule amendments to Treasury's large position reporting rules. Treasury estimates an increase from 12 to 20 respondents and an increase from 8 to 10 hours per respondent. Because the final rule amendments would also require more detailed information to be provided by entities that file reports, Treasury is increasing the annual reporting burden by 104 hours.

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Annual Cost to Federal Government: $148,600

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: 12/18/2014

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