OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

Securities Exchange Act Disclosure Rules

OMB 1557-0106 · TREAS/OCC.

OMB 1557-0106

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.

The latest form for Securities Exchange Act Disclosure Rules expires 2022-10-31 and is listed under ICR 201905-1557-002.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
1557-0106 30-Day FRN for Security Exchange Act Disclosure_Part 11 (91 FR 32510).pdfSupplementary Document
1557-0106 60-Day FRN for Security Exchange Act Disclosure_Part 11 (90 FR 59322).pdfSupplementary Document
1557-0106 Supporting Statement for Securities Exchange Act Disclosure 6.1.26.docxSupporting Statement A
Form 15 - Certification and Notice of Termination of Registration Information collection
Form 8 K - Current Report Information collection
Schedules 14A and 14C - Proxy – Information Statement Information collection
Form 10 Q - Quarterly Report Information collection
Form 10 K - Annual Report Information collection
Form 10 - Registration Statement Information collection
Schedule 13D and Schedule 13G Reporting - Acquisition Statement Information collection
Form 5 - Annual Report of Transactions Information collection
Form 4 - Statement of Changes in Beneficial Ownership Information collection
Form 3 - Initial Report of Beneficial Ownership Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202605-1557-001 Reinstatement without change of a previously approved collection 2026-06-01
202205-1557-009 Extension without change of a currently approved collection 2022-09-15 Approved without change
201905-1557-002 Extension without change of a currently approved collection 2019-09-10 Approved without change
201608-1557-006 No material or nonsubstantive change to a currently approved collection 2017-01-23 Approved without change
201602-1557-004 Extension without change of a currently approved collection 2016-04-01 Approved without change
201210-1557-001 Revision of a currently approved collection 2013-01-14 Approved without change
201109-1557-004 No material or nonsubstantive change to a currently approved collection 2011-09-14 Approved without change
200907-1557-002 Revision of a currently approved collection 2009-11-03 Approved without change
200608-1557-004 Revision of a currently approved collection 2006-10-10 Approved without change
200309-1557-001 Revision of a currently approved collection 2003-09-25 Approved without change
200307-1557-001 No material or nonsubstantive change to a currently approved collection 2003-07-21 Approved without change
200305-1557-003 Revision of a currently approved collection 2003-05-21 Approved without change
200002-1557-001 Extension without change of a currently approved collection 2000-02-15 Approved without change
199612-1557-003 Extension without change of a currently approved collection 1996-12-12 Approved without change
199507-1557-006 Extension without change of a currently approved collection 1995-07-25 Approved without change
199203-1557-001 Revision of a currently approved collection 1992-03-25 Approved without change
199108-1557-002 No material or nonsubstantive change to a currently approved collection 1991-08-09 Approved with change
199104-1557-002 Extension without change of a currently approved collection 1991-04-11 Approved without change
199103-1557-015 No material or nonsubstantive change to a currently approved collection 1991-03-28 Approved with change
198802-1557-002 Reinstatement with change of a previously approved collection 1988-02-01 Approved without change
198511-1557-004 No material or nonsubstantive change to a currently approved collection 1985-11-27 Approved with change
198411-1557-002 Revision of a currently approved collection 1984-11-09 Approved without change
198408-1557-004 Revision of a currently approved collection 1984-08-28 Withdrawn and continue
198202-1557-001 Extension without change of a currently approved collection 1982-02-19 Approved without change
198110-1557-009 Revision of a currently approved collection 1981-10-20 Approved without change
198104-1557-105 Revision of a currently approved collection 1981-04-30 Approved without change

OMB Details

Form 3 - Initial Report of Beneficial Ownership

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight