Electronic Data Collection System-Tips, Complaints, Referrals (TCR) and Form TCR

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form Form TCR Form TCR Tip, Complaint, or Referral	Form and Instruction	Modified	Available
Form Form TCR TCR Form	Form and Instruction	Modified	Repair queued
Form TCR Complaint Form TCR Complaint Form	Form	Modified	Available
Form TCR Complaint Form Tips, Complaints and Referral Database-TCR	Form	Modified	Missing upstream
2025 03 10_90 FR 11636_3235-0672_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2025-03-10	Available
2025 03 10_90 FR 11636_3235-0672_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2025-03-10	Repair queued
Online TCR and Form TCR Supporting Statement (2025 extension) 5.20.25.pdf	Supporting Statement A	Uploaded 2025-05-21	Available
Online TCR and Form TCR Supporting Statement (2025 extension) 3.6.25.pdf	Supporting Statement A	Uploaded 2025-03-10	Missing upstream
pia-servicenow-enclave.pdf	Supplementary Document	Uploaded 2025-03-03	Available
pia-servicenow-enclave.pdf	Supplementary Document	Uploaded 2025-03-03	Missing upstream
2024 12 26_89 FR 105161_3235-0672_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2024-12-26	Repair queued
2024 12 26_89 FR 105161_3235-0672_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2024-12-26	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
251947	TCR Form	Form and Instruction	Modified	Form TCR Tip, Complaint, or Referral
251947	TCR Form	Form and Instruction	Modified
194909	Tips, Complaints and Referral Database-TCR	Form	Modified	TCR Complaint Form
194909	Tips, Complaints and Referral Database-TCR	Form	Modified

ICR Details

OMB Control No: 3235-0672	ICR Reference No: 202412-3235-025
Status: Active	Previous ICR Reference No: 202410-3235-008
Agency/Subagency: SEC	Agency Tracking No: EN-270-621
Title: Electronic Data Collection System-Tips, Complaints, Referrals (TCR) and Form TCR
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 with change	Conclusion Date: 05/29/2025
Retrieve Notice of Action (NOA)	Date Received in OIRA: 03/10/2025
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2028	36 Months From Approved	05/31/2025
Responses	35,170	0	28,560
Time Burden (Hours)	17,755	0	14,840
Cost Burden (Dollars)	10,200	0	33,600

---

Abstract: The Securities and Exchange Commission utilizes an Electronic Data Collection System, a Tips and Complaints Referral database. The database supports information provided by the general public that would like to file a tip or fraud complaint with the SEC. The database is a web based e-filed dynamic report based on current technology that pre-populates and establishes a series of questions based on the data that the individual enters. The individual will then complete specific information on the subject(s) and nature of the suspicious activity, using the data elements appropriate to the type of tip or complaint. The information collection is voluntary. The Commission also utilizes a paper form for submitting tips, complaints, and referrals. It is called Form TCR.

---

Authorizing Statute(s): None

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 105161	12/26/2024
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 11636	03/10/2025
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 2

table that charts list of burden

IC Title	Form No.	Form Name
TCR Form	Form TCR	Form TCR Tip, Complaint, or Referral
Tips, Complaints and Referral Database-TCR	TCR Complaint Form	TCR Complaint Form

---

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	35,170	28,560	0	6,610	0	0
Annual Time Burden (Hours)	17,755	14,840	0	2,915	0	0
Annual Cost Burden (Dollars)	10,200	33,600	0	-23,400	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The increase in burden for the Electronic Data Collection System is due to an increased volume of submissions, and the decrease in burden for Form TCR is due to a decreased volume of submissions. There have been no program changes or material changes to these collections of information that have contributed to a change in the public burden.

---

Annual Cost to Federal Government: $8,848,099

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

---

Common Form ICR:  No

---

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: 03/10/2025

---