Reporting and Disclosure Requirements Associated with Regulation H (Securities of State Member Banks)

Forms and Documents

Document	Type	Status	Availability
FRH1_202230226_omb.pdf	Supporting Statement A	Uploaded 2023-02-26	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
36093	Reporting Form 10 (17 CFR 249.210)		Unchanged
240088	Disclosure Form 5 (17 CFR 240.16a-3(k))		Unchanged
240087	Disclosure Form 4 (17 CFR 240.16a-3(k))		Unchanged
240086	Disclosure Form 3 (17 CFR 240.16a-3(k))		Unchanged
240085	Reporting and Disclosure Form 15 (17 CFR 249.323)		Unchanged
240084	Reporting and Disclosure Rule 12b-25 (17 CFR 240.12b-25) and Form 12b-25 (17 CFR 249.322)		Unchanged
240083	Reporting and Disclosure Rule 14f-l (17 CFR 240.14f-l)		Unchanged
240082	Reporting and Disclosure Regulation 14C (17 CFR 240.14c-1 et seq.) and Schedule 14C (17 CFR 240.14c-101)		Unchanged
240081	Reporting and Disclosure Regulation 14A (17 CFR 240.14a-1 et seq.) and Schedule 14A (17 CFR 240.14a-101)		Unchanged
240080	Reporting and Disclosure Rule 13e-3 (17 CFR 240.13e) and Schedule 13E-3 (17 CFR 240.13e-100)		Unchanged
240079	Reporting Form 10-K (17 CFR 249.310)		Unchanged
240077	Reporting Form 10-Q (17 CFR 249.308a)		Unchanged
240076	Reporting Form 8-K (17 CFR 249.308)		Unchanged
240074	Reporting Regulation 14D (17 CFR 240.14d-1 through 240.14d-103) and Schedule 14D-9 (17 CFR 240.14d-101)		Unchanged
240072	Reporting Rule 13e-l (17 CFR 240.13e-1)		Unchanged
240071	Reporting Regulation 12B (17 CFR 240.12b-1 through 240.12b-37)		Unchanged
240070	Reporting Form 8-A (17 CFR 249.208a)		Unchanged

ICR Details

OMB Control No: 7100-0091	ICR Reference No: 202302-7100-008
Status: Active	Previous ICR Reference No: 202203-7100-002
Agency/Subagency: FRS	Agency Tracking No: FR H-1
Title: Reporting and Disclosure Requirements Associated with Regulation H (Securities of State Member Banks)
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: 02/26/2023
Retrieve Notice of Action (NOA)	Date Received in OIRA: 02/26/2023
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2026	36 Months From Approved	02/28/2023
Responses	120	0	120
Time Burden (Hours)	6,649	0	6,649
Cost Burden (Dollars)	0	0	0

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Abstract: The Board’s Regulation H - Membership of State Banking Institutions in the Federal Reserve System (12 CFR Part 208) requires state member banks (SMBs) whose securities are subject to registration pursuant to the Securities Exchange Act of 1934 (Exchange Act) to disclose certain information to shareholders and securities exchanges and to report information relating to their securities to the Board using forms adopted by the Securities and Exchange Commission (SEC) and in compliance with certain rules and regulations adopted by the SEC.

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Authorizing Statute(s): US Code: 15 USC 78l(i) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w(a)(1) Name of Law: Securities Exchange Act of 1934
   US Code: 12 USC 248(a)(1) Name of Law: Federal Reserve Act
  

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 40841	07/08/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 72999	11/28/2022
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 17

IC Title	Form No.	Form Name
Disclosure Form 3 (17 CFR 240.16a-3(k))
Disclosure Form 4 (17 CFR 240.16a-3(k))
Disclosure Form 5 (17 CFR 240.16a-3(k))
Reporting Form 10 (17 CFR 249.210)
Reporting Form 10-K (17 CFR 249.310)
Reporting Form 10-Q (17 CFR 249.308a)
Reporting Form 8-A (17 CFR 249.208a)
Reporting Form 8-K (17 CFR 249.308)
Reporting Regulation 12B (17 CFR 240.12b-1 through 240.12b-37)
Reporting Regulation 14D (17 CFR 240.14d-1 through 240.14d-103) and Schedule 14D-9 (17 CFR 240.14d-101)
Reporting Rule 13e-l (17 CFR 240.13e-1)
Reporting and Disclosure Form 15 (17 CFR 249.323)
Reporting and Disclosure Regulation 14A (17 CFR 240.14a-1 et seq.) and Schedule 14A (17 CFR 240.14a-101)
Reporting and Disclosure Regulation 14C (17 CFR 240.14c-1 et seq.) and Schedule 14C (17 CFR 240.14c-101)
Reporting and Disclosure Rule 12b-25 (17 CFR 240.12b-25) and Form 12b-25 (17 CFR 249.322)
Reporting and Disclosure Rule 13e-3 (17 CFR 240.13e) and Schedule 13E-3 (17 CFR 240.13e-100)
Reporting and Disclosure Rule 14f-l (17 CFR 240.14f-l)

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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	120	120	0	0	0	0
Annual Time Burden (Hours)	6,649	6,649	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.     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: 02/26/2023

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