Securities Exchange Act Disclosure Rules

OMB 1557-0106

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.

All Historical Document Collections
Extension without change of a currently approved collection 2022-09-15
Approved without change
Extension without change of a currently approved collection 2019-09-10
Approved without change
No material or nonsubstantive change to a currently approved collection 2017-01-23
Approved without change
Extension without change of a currently approved collection 2016-04-01
Approved without change
Revision of a currently approved collection 2013-01-14
Approved without change
No material or nonsubstantive change to a currently approved collection 2011-09-14
Approved without change
Revision of a currently approved collection 2009-11-03
Approved without change
Revision of a currently approved collection 2006-10-10
Approved without change
Revision of a currently approved collection 2003-09-25
Approved without change
No material or nonsubstantive change to a currently approved collection 2003-07-21
Approved without change
Revision of a currently approved collection 2003-05-21
Approved without change
Extension without change of a currently approved collection 2000-02-15
Approved without change
Extension without change of a currently approved collection 1996-12-12
Approved without change
Extension without change of a currently approved collection 1995-07-25
Approved without change
Revision of a currently approved collection 1992-03-25
Approved with change
No material or nonsubstantive change to a currently approved collection 1991-08-09
Approved without change
Extension without change of a currently approved collection 1991-04-11
Approved with change
No material or nonsubstantive change to a currently approved collection 1991-03-28
Approved without change
Reinstatement with change of a previously approved collection 1988-02-01
Approved with change
No material or nonsubstantive change to a currently approved collection 1985-11-27
Approved without change
Revision of a currently approved collection 1984-11-09
Withdrawn and continue
Revision of a currently approved collection 1984-08-28
Approved without change
Extension without change of a currently approved collection 1982-02-19
Approved without change
Revision of a currently approved collection 1981-10-20
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


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