Securities Exchange Act Disclosure Rules

ICR 201905-1557-002

OMB: 1557-0106

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2019-09-04
ICR Details
1557-0106 201905-1557-002
Active 201608-1557-006
TREAS/OCC
Securities Exchange Act Disclosure Rules
Extension without change of a currently approved collection   No
Regular
Approved without change 10/17/2019
Retrieve Notice of Action (NOA) 09/10/2019
  Inventory as of this Action Requested Previously Approved
10/31/2022 36 Months From Approved 10/31/2019
176 0 10
409 0 117
0 0 0

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.

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
  
None

Not associated with rulemaking

  84 FR 12029 03/29/2019
84 FR 47631 09/10/2019
No

  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
No
No
The increase in burden is due to the increase in the number of filers.

$0
No
    No
    No
No
No
No
Uncollected
Michael Dugas 202 874-5210

  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.
09/10/2019


© 2022 OMB.report | Privacy Policy