Securities Exchange Act Disclosure Rules

Forms and Documents

Document Name	Status
1557-0106 Supporting Statement Part 11 9-4-19.docx Supporting Statement A	2019-09-04

IC Document Collections

IC ID	Document Title	Status
205026	Form 13F - Reports of Institutional Investment Managers	Modified
205025	Form 8 K - Current Report	Modified
205024	Schedules 14A and 14C - Proxy – Information Statement	Modified
205023	Form 10 Q - Quarterly Report	Modified
205022	Form 10 K - Annual Report	Modified
205021	Form 10 - Registration Statement	Modified
205020	Schedule 13D and Schedule 13G Reporting - Acquisition Statement	Modified
205019	Form 5 - Annual Report of Transactions	Modified
205018	Form 4 - Statement of Changes in Beneficial Ownership	Modified
20026	Form 3 - Initial Report of Beneficial Ownership	Modified

ICR Details

OMB Control No: 1557-0106	ICR Reference No: 201905-1557-002
Status: Active	Previous ICR Reference No: 201608-1557-006
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Securities Exchange Act Disclosure Rules
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 10/17/2019
	Date Received in OIRA: 09/10/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2022	36 Months From Approved	10/31/2019
Responses	176	0	10
Time Burden (Hours)	409	0	117
Cost Burden (Dollars)	0	0	0

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Abstract: 12 CFR parts 11 requires 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.

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Authorizing Statute(s): US Code: 15 USC 78l, 78m Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 7241 et seq. Name of Law: Sarbanes-Oxley Act of 2002
  

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:
	84 FR 12029	03/29/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 47631	09/10/2019
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 10

IC Title	Form No.	Form Name
Form 13F - Reports of Institutional Investment Managers
Form 4 - Statement of Changes in Beneficial Ownership
Form 5 - Annual Report of Transactions
Schedule 13D and Schedule 13G Reporting - Acquisition Statement
Form 10 - Registration Statement
Form 10 K - Annual Report
Form 10 Q - Quarterly Report
Schedules 14A and 14C - Proxy – Information Statement
Form 8 K - Current Report
Form 3 - Initial Report of Beneficial Ownership

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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	176	10	0	8	158	0
Annual Time Burden (Hours)	409	117	0	0	292	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 increase in burden is due to the increase in the number of filers.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

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

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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: 09/10/2019

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