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

ICR 201608-1557-006

OMB: 1557-0106

Federal Form Document

Forms and Documents
Justification for No Material/Nonsubstantive Change
Supporting Statement A
ICR Details
1557-0106 201608-1557-006
Historical Active 201602-1557-004
Securities Exchange Act Disclosure Rules (12 CFR 11 and 12 CFR 194)
No material or nonsubstantive change to a currently approved collection   No
Approved without change 02/10/2017
Retrieve Notice of Action (NOA) 01/23/2017
  Inventory as of this Action Requested Previously Approved
06/30/2019 06/30/2019 06/30/2019
10 0 10
117 0 117
0 0 0

12 CFR parts 11 and 194 require national banks and Federal savings associations 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. Through a final rule, part 194 is removed and Federal savings associations would follow part 11. In addition, section 11.3 has been revised to require that fewer copies be filed and to allow electronic signatures. These changes result in no change to the burden estimates.

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

Not associated with rulemaking

  81 FR 3237 01/20/2016
81 FR 18930 04/01/2016

  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 10 10 0 0 0 0
Annual Time Burden (Hours) 117 117 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
The decrease in burden is due to the decrease in the number of filings.

Michael Dugas 202 874-5210


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:
    (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;
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.

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