Securities Exchange Act Disclosure Rules

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
1557-0106 Securities Exchange Act Disclosure Rules - Part 11 - Supporting Statement 9-9-22.docx	Supporting Statement A	Uploaded 2022-09-15	Missing upstream

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
205026	Form 13F - Reports of Institutional Investment Managers		Removed
205025	Form 8 K - Current Report		Modified
205024	Schedules 14A and 14C - Proxy – Information Statement		Unchanged
205023	Form 10 Q - Quarterly Report		Unchanged
205022	Form 10 K - Annual Report		Unchanged
205021	Form 10 - Registration Statement		Unchanged
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: 202205-1557-009
Status: Received in OIRA	Previous ICR Reference No: 201905-1557-002
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	Date Submitted to OIRA: 09/15/2022

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	10/31/2022
Responses	6,645	176
Time Burden (Hours)	333	409
Cost Burden (Dollars)	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 7241 et seq. Name of Law: Sarbanes-Oxley Act of 2002
   US Code: 15 USC 78l, 78m 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:
	87 FR 31287	05/23/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 56751	09/15/2022
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 9

table that charts list of burden

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

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ICR Summary of Burden

table that charts list of burden

	Total Request	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	6,645	176	0	6,480	-11	0
Annual Time Burden (Hours)	333	409	0	32	-108	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The change in burden is due to a decrease in the average response time per response despite the slight 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? 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: 09/15/2022

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