Survey of Foreign-Residents' Holdings of U.S. Securities

Forms and Documents

Document	Type	Status	Availability
Form SHLA - Schedules 1 Survey of Foreign-Residents' Holdings of U.S. Securities	Form and Instruction	Modified	Available
1505-0123 ss PartA-shla2017.docx	Supporting Statement A	Uploaded 2017-04-19	Available
1505-0123 ss PartB-shla2017.docx	Supporting Statement B	Uploaded 2017-04-13	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
15136	Survey of Foreign-Residents' Holdings of U.S. Securities	Form and Instruction	Modified

ICR Details

OMB Control No: 1505-0123	ICR Reference No: 201704-1505-001
Status: Active	Previous ICR Reference No: 201502-1505-002
Agency/Subagency: TREAS/DO	Agency Tracking No:
Title: Survey of Foreign-Residents' Holdings of U.S. Securities
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: 10/31/2018
	Date Received in OIRA: 04/19/2017
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2021	36 Months From Approved	10/31/2018
Responses	249	0	191
Time Burden (Hours)	40,793	0	32,053
Cost Burden (Dollars)	0	0	0

---

Abstract: The survey collects information on foreign resident's holdings of U.S. securities, including selected money market instruments. The data is used in the computation of the U.S. balance of payments accounts and U.S. international investment position, in the formulation of U.S. financial and monetary policies, to satisfy 22 U.S.C. 3101, and for information on foreign portfolio investment patterns. Respondents are primarily the largest banks, securities dealers, and issuers of U.S. securities.

---

Authorizing Statute(s): US Code: 22 USC 3101 et seq.,3103 Name of Law: International Investment and Trade in Services Survey Act
   EO: EO 11961 Name/Subject of EO: Administration of International Investment and Trade in Services Survey Act
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 96566	12/30/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	82 FR 18535	04/19/2017
Did the Agency receive public comments on this ICR? Yes

---

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

IC Title	Form No.	Form Name
Survey of Foreign-Residents' Holdings of U.S. Securities	SHLA - Schedules 1 & 2	SHLA - Schedules 1 & 2

---

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	249	191	0	-16	74	0
Annual Time Burden (Hours)	40,793	32,053	0	-3,218	11,958	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: Yes

Burden Reduction Due to: Changing Regulations

Short Statement: The overall increase in burden results from: (a) an outside increase of about 74 respondents with 11,958 hours of burden, less (b) a decrease of 3,218 hours and about 16 respondents due to agency discretion (i.e. a decrease of 5,494 hours and about 28 respondents due to raising the threshold level for reporting from $100 million to $200 million for SHL, offset by an increase of 2,276 hours from adding an average of 12 reporters who previously filed with the Bureau of Economic Analysis in the Department of Commerce).

---

Annual Cost to Federal Government: $4,631,009

Does this IC contain surveys, censuses, or employ statistical methods? Yes Part B of Supporting Statement

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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

---

Common Form ICR:  No

---

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: 04/19/2017

---