OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

Recordkeeping Requirements for Securities Transactions

OMB 1557-0142 · TREAS/OCC.

OMB 1557-0142

The information collection requirements in 12 CFR parts 12 and 151 are required to ensure that national banks and Federal savings associations comply with securities laws and to improve the protections afforded to persons who purchase and sell securities through these financial institutions. Parts 12 and 151 contain recordkeeping and confirmation requirements applicable to certain securities transactions effected by national banks or Federal savings associations for customers.

The latest form for Recordkeeping Requirements for Securities Transactions expires 2029-06-30 and is listed under ICR 202604-1557-004.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
1557-0142 Supporting Statement for Recordkeeping Req for Sec Trans (Final).docxSupporting Statement A
1557-0142 30-Day FRN for Recordkeeping Req. for Sec. Trans. (91 FR 23346).pdfSupplementary Document
1557-0142 60-Day FRN for Recordkeeping Req. for Sec. Trans. (91 FR 8307).pdfSupplementary Document
Recordkeeping Requirements for Securities Transactions Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202604-1557-004 Extension without change of a currently approved collection 2026-04-30
202302-1557-001 Extension without change of a currently approved collection 2023-02-03 Approved without change
202002-1557-005 Extension without change of a currently approved collection 2020-04-15 Approved without change
201608-1557-008 Revision of a currently approved collection 2017-01-23 Approved without change
201601-1557-006 Revision of a currently approved collection 2016-03-14 Comment filed on proposed rule and continue
201501-1557-004 Extension without change of a currently approved collection 2015-05-13 Approved without change
201112-1557-001 Extension without change of a currently approved collection 2012-04-05 Approved without change
201109-1557-001 No material or nonsubstantive change to a currently approved collection 2011-09-14 Approved without change
200902-1557-001 Revision of a currently approved collection 2009-03-26 Approved without change
200601-1557-003 Revision of a currently approved collection 2006-01-26 Approved without change
200301-1557-003 Extension without change of a currently approved collection 2003-01-23 Approved without change
199911-1557-001 Extension without change of a currently approved collection 1999-11-29 Approved without change
199512-1557-003 Revision of a currently approved collection 1995-12-22 Approved without change
199509-1557-002 Extension without change of a currently approved collection 1995-09-01 Approved without change
199508-1557-002 No material or nonsubstantive change to a currently approved collection 1995-08-17 Approved with change
199209-1557-003 Revision of a currently approved collection 1992-09-04 Approved without change
199103-1557-011 No material or nonsubstantive change to a currently approved collection 1991-03-06 Approved with change
198904-1557-001 Revision of a currently approved collection 1989-04-21 Approved without change
198705-1557-002 Revision of a currently approved collection 1987-05-19 Approved without change
198602-1557-016 No material or nonsubstantive change to a currently approved collection 1986-02-18 Approved with change
198406-1557-002 Revision of a currently approved collection 1984-06-01 Approved without change
198110-1557-005 New collection (Request for a new OMB Control Number) 1981-10-16 Approved without change