Securities Exchange Act Disclosure Rules

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 can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
1557-0106 Securities Exchange Act Disclosure Rules - Part 11 - Supporting Statement 9-9-22.docx Supporting Statement A
Form 13F - Reports of Institutional Investment Managers
Form 8 K - Current Report
Schedules 14A and 14C - Proxy Information Statement
Form 10 Q - Quarterly Report
Form 10 K - Annual Report
Form 10 - Registration Statement
Schedule 13D and Schedule 13G Reporting - Acquisition Statement
Form 5 - Annual Report of Transactions
Form 4 - Statement of Changes in Beneficial Ownership
Form 3 - Initial Report of Beneficial Ownership

All Historical Document Collections

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

OMB Details

Form 3 - Initial Report of Beneficial Ownership

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight