Securities of State Nonmember Banks and State Savings Associations

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form 6800-03 Initial Statement of Beneficial Ownership of Securities	Form and Instruction	Modified	Available
Form 6800-05 Annual Statement of Beneficial Ownership of Securities	Form and Instruction	Modified	Available
Form 6800-04 Statement of Changes in Beneficial Ownership of Securities	Form and Instruction	Modified	Available
[3064-0030] 30 Day Notice - 85 FR 895 8 Jan 2020.pdf	Supplementary Document	Uploaded 2020-01-14	Available
[3064-0030] 60 Day Notice - 84 FR 57869 29 Oct 2019.pdf	Supplementary Document	Uploaded 2020-01-14	Available
SPST-0030 Securities of Insured Nonmember Banks 2020 Renewal- FINAL BP.docx	Supporting Statement A	Uploaded 2020-01-16	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
31785	Securities of Insured Nonmember Bnaks and State Savings Associations	Form and Instruction	Modified	Initial Statement of Beneficial Ownership of Securities
223454	Schedule 14D-1 (Tender Offer)		Unchanged
223453	14C Information Required in Information Statements		Unchanged
223450	14 Proxy Statements		Unchanged
223449	13G Certain Acquisitions of Stock		Unchanged
223447	13E-3 Going Private Transactions by Certain Issuers of Their Affiliates		Unchanged
223445	13D Certain Beneficial Ownership Changes		Unchanged
223443	25 Notification of Removal from Listing and/or Registration Under Section 12(b) of the Securities Exchange Act of 1934		Unchanged
223442	15 Certification and Notice of Termination of Registration		Unchanged
223441	12b-25 Notification of Late Filing		Unchanged
223419	10-Q Quaterly Report		Unchanged
223418	10-K Annual Report		Unchanged
223416	10-C Registration of Securities		Unchanged
223415	10 Registration of Securities		Unchanged
223413	8-K Current Report		Unchanged
223412	8-C Registration of Certain Classes of Securities		Unchanged
223411	8-A Registration of Certain Classes of Securities		Unchanged
193342	Securities of State Nonmember Banks and State Savings Associations	Form and Instruction	Modified	Annual Statement of Beneficial Ownership of Securities
193340	Securities of State Nonmember Banks and State Savings Associations	Form and Instruction	Modified	Statement of Changes in Beneficial Ownership of Securities

ICR Details

OMB Control No: 3064-0030	ICR Reference No: 202001-3064-005
Status: Historical Active	Previous ICR Reference No: 201609-3064-002
Agency/Subagency: FDIC	Agency Tracking No: 3064-0030
Title: Securities of State Nonmember Banks and State Savings Associations
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: 02/21/2020
Retrieve Notice of Action (NOA)	Date Received in OIRA: 01/21/2020
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2023	36 Months From Approved	02/29/2020
Responses	1,533	0	1,533
Time Burden (Hours)	11,546	0	11,546
Cost Burden (Dollars)	0	0	0

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Abstract: Section 12(i) of the Exchange Act grants authority to the Federal banking agencies to administer and enforce Sections 10A(m), 12, 13, 14(a), 14(c), 14(d), 14(f), and 16 of the Exchange Act and Sections 302, 303, 304, 306, 401(b), 404, 406, and 407 of the Sarbanes-Oxley Act of 2002. Pursuant to Section 12(i), the FDIC has the authority, including rulemaking authority, to administer and enforce these enumerated provisions as may be necessary with respect to state nonmember banks and state savings associations over which it has been designated the appropriate Federal banking agency. Section 12(i) generally requires the FDIC to issue regulations substantially similar to those issued by the Securities and Exchange Commission (“SEC”) regulations to carry out these responsibilities. Thus, Part 335 of the FDIC regulations incorporates by cross-reference the SEC rules and regulations regarding the disclosure and filing requirements of registered securities of state nonmember banks and state savings associations.

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Authorizing Statute(s): US Code: 15 USC 781 Name of Law: Securities Exchange Act of 1934
   PL: Pub.L. 107 - 204 116 Stat. 745 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 57869	10/29/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 895	01/08/2020
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 19

table that charts list of burden

IC Title	Form No.	Form Name
10 Registration of Securities
10-C Registration of Securities
10-K Annual Report
10-Q Quaterly Report
12b-25 Notification of Late Filing
13D Certain Beneficial Ownership Changes
13E-3 Going Private Transactions by Certain Issuers of Their Affiliates
13G Certain Acquisitions of Stock
14 Proxy Statements
14C Information Required in Information Statements
15 Certification and Notice of Termination of Registration
25 Notification of Removal from Listing and/or Registration Under Section 12(b) of the Securities Exchange Act of 1934
8-A Registration of Certain Classes of Securities
8-C Registration of Certain Classes of Securities
8-K Current Report
Schedule 14D-1 (Tender Offer)
Securities of Insured Nonmember Bnaks and State Savings Associations	6800-03	Initial Statement of Beneficial Ownership of Securities
Securities of State Nonmember Banks and State Savings Associations	6800-04	Statement of Changes in Beneficial Ownership of Securities
Securities of State Nonmember Banks and State Savings Associations	6800-05	Annual Statement of Beneficial Ownership of Securities

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ICR Summary of Burden

table that charts list 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	1,533	1,533	0	0	0	0
Annual Time Burden (Hours)	11,546	11,546	0	0	0	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:

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Annual Cost to Federal Government:

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: 01/21/2020

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