Margin Credit Reports

Forms and Documents

Document Name	Status
Form FR G-1 Reporting FR G-1 Form and Instruction	Modified
Form FR U-1 Recordkeeping FR U-1 Form and Instruction	Modified
Form FR T-4 Recordkeeping FR T-4 Form and Instruction	Modified
Form FR G-3 Recordkeeping FR G-3 Form and Instruction	Modified
Form FR G-4 Reporting FR G-4 Form and Instruction	Modified
Form FR G-2 Reporting FR G-2 Form and Instruction	Modified
FRGTU_20210624_omb.pdf Supporting Statement A	2021-06-24

IC Document Collections

IC ID	Document Title	Status
35984	Reporting FR G-1 Form and Instruction	Modified
231900	Recordkeeping FR U-1 Form and Instruction	Modified
231899	Recordkeeping FR T-4 Form and Instruction	Modified
231898	Recordkeeping FR G-3 Form and Instruction	Modified
182651	Reporting FR G-4 Form and Instruction	Modified
182650	Reporting FR G-2 Form and Instruction	Modified

ICR Details

OMB Control No: 7100-0011	ICR Reference No: 202106-7100-011
Status: Active	Previous ICR Reference No: 202106-7100-009
Agency/Subagency: FRS	Agency Tracking No: FR G-1, FR G-2, FR G-3, FR G-4, FR T-4, and FR U-1
Title: Margin Credit Reports
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Delegated
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/24/2021
	Date Received in OIRA: 06/24/2021
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2024	36 Months From Approved	06/30/2021
Responses	591	0	591
Time Burden (Hours)	260	0	260
Cost Burden (Dollars)	0	0	0

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Abstract: The Margin Credit Reports comprises the following six reports: • Registration Statement for Persons Who Extend Credit Secured by Margin Stock (Other Than Banks, Brokers, or Dealers) (FR G-1), • Deregistration Statement for Persons Registered Pursuant to Regulation U (FR G-2), • Statement of Purpose for an Extension of Credit Secured by Margin Stock by a Person Subject to Registration Under Regulation U (FR G-3), • Annual Report (FR G-4), • Statement of Purpose for an Extension of Credit by a Creditor (FR T-4), and • Statement of Purpose for an Extension of Credit Secured by Margin Stock (FR U-1). The Margin Credit Reports relate to extensions of credit secured by margin stock. The Board collects the information gathered by the Margin Credit Reports so that it may meet certain obligations under the Securities Exchange Act of 1934 (the Act).

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Authorizing Statute(s): US Code: 15 USC 78w Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78g Name of Law: Securities Exchange Act of 1934
  

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:
	85 FR 83950	12/23/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 20151	04/16/2021
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 6

IC Title	Form No.	Form Name
Recordkeeping FR G-3	FR G-3	Statement of Purpose for an Extension of Credit Secured by Margin Stock by a Person Subject to Registration Under Regulation U
Recordkeeping FR T-4	FR T-4	Statement of Purpose for an Extension of Credit by a Creditor
Recordkeeping FR U-1	FR U-1	Statement of Purpose for an Extension of Credit Secured by Margin Stock
Reporting FR G-1	FR G-1	Registration Statement for Persons Who Extend Credit Secured by Margin Stock (Other Than Banks, Brokers, or Dealers)
Reporting FR G-2	FR G-2	Deregistration Statement for Persons Registered Pursuant to Regulation U
Reporting FR G-4	FR G-4	Annual Report

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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	591	591	0	0	0	0
Annual Time Burden (Hours)	260	260	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: $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.     Yes

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.     Yes

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? No

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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: 06/24/2021

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