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

ICR 201706-3235-001

OMB: 3235-0672

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Supporting Statement A
2017-08-24
Supplementary Document
2017-08-23
IC Document Collections
ICR Details
3235-0672 201706-3235-001
Historical Active 201309-3235-005
SEC EN-270-621
Electronic Data Collection System-Tips, Complaints, Referrals (TCR)
Extension without change of a currently approved collection   No
Regular
Approved without change 10/06/2017
Retrieve Notice of Action (NOA) 08/24/2017
SEC will migrate the paper Form TCR from 3235-0686 into 3235-0672 before seeking renewal.
  Inventory as of this Action Requested Previously Approved
10/31/2018 36 Months From Approved 10/31/2017
16,000 0 13,120
8,000 0 6,560
0 0 0

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.

None
None

Not associated with rulemaking

  82 FR 27538 06/20/2017
82 FR 39475 08/18/2017
No

1
IC Title Form No. Form Name
Tips, Complaints and Referral Database-TCR N/A N/A

  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 16,000 13,120 0 0 2,880 0
Annual Time Burden (Hours) 8,000 6,560 0 0 1,440 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The increase in annual burden of approximately 1,440 hours is due to the actual number of submissions that were received within the past three years.

$4,693,795
No
    Yes
    Yes
No
No
No
Uncollected
Osman Handoo 202 551-4536

  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:
 
 
 
 
 
 
 
    (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.
08/24/2017


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