Securities Exchange Act Disclosure Rules

ICR 202205-1557-009

OMB: 1557-0106

Federal Form Document

Forms and Documents
ICR Details
1557-0106 202205-1557-009
Received in OIRA 201905-1557-002
Securities Exchange Act Disclosure Rules
Extension without change of a currently approved collection   No
Regular 09/15/2022
  Requested Previously Approved
36 Months From Approved 10/31/2022
6,645 176
333 409
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 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

Not associated with rulemaking

  87 FR 31287 05/23/2022
87 FR 56751 09/15/2022

  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
Miscellaneous Actions
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.

Michael Dugas 202 874-5210


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.

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