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Federal forms, ICRs, and supporting documents

OMB control number

Reporting, Recordkeeping, and Disclosure Requirements Associated with Proprietary Trading and Certain Interests in and Relationships with Covered Funds

OMB 1557-0309 · TREAS/OCC.

OMB 1557-0309

Section 619 of the Dodd-Frank Act added a new section 13 to the Bank Holding Company (BHC) Act (BHC Act) (codified at 12 U.S.C. 1851) that generally prohibits any banking entity from engaging in proprietary trading or from acquiring or retaining an ownership interest in, sponsoring, or having certain relationships with a hedge fund or private equity fund, subject to certain exemptions. The OCC’s version of the rule is codified at 12 CFR part 44. The reporting, recordkeeping, and disclosure requirements associated with the rule permit banking entities and the OCC to enforce compliance with section 13 of the BHC Act and the rule and to identify, monitor, and limit risks of activities permitted under section 13.

The latest form for Reporting, Recordkeeping, and Disclosure Requirements Associated with Proprietary Trading and Certain Interests in and Relationships with Covered Funds expires 2029-06-30 and is listed under ICR 202604-1557-005.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
1557-0309 Supporting Statement for Volcker (Part 44) (Final).docxSupporting Statement A
1557-0309 30-Day FRN for Volcker (Part 44) (91 FR 23345).pdfSupplementary Document
1557-0309 60-Day FRN for Volcker (Part 44) (91 FR 6729).pdfSupplementary Document
Section 10(c)(18)(ii)(C)(1) Recordkeeping - Ongoing Burden Information collection
Section 4(c)(3)(i) Recordkeeping - Ongoing Information collection
Section 3(d)(3) Recordkeeping - Ongoing Information collection
Section 10(c)(18)(ii)(C)(1) Recordkeeping - Initial Setup Information collection
Section 4(c)(3)(i) Recordkeeping - Initial Setup Information collection
Section 3(d)(3) Recordkeeping - Initial Setup Information collection
Section 20(i) Reporting - Ongoing Information collection
Section 20(i) Reporting - Initial Setup Information collection
Section 4(c)(3)(i) Reporting - Ongoing Information collection
Section 4(c)(3)(i) Reporting - Initial Set up Information collection
Section 44.20(d) - $20 billion - Appendix Reporting Requirements - Ongoing Burden Information collection
Section 44.20(d) - $20 billion - Appendix Reporting Requirements - Initial Set-up Information collection
Section 44.20(c) - CEO Attestation - Ongoing Burden Information collection
Section 44.20(c) - CEO Attestation - Initial Set-up Information collection
Section 44.20(b) - Compliance Program - Ongoing Burden Information collection
Section 44.20(b) - Compliance Program - Initial Set-up Information collection
Section 44.20(d) - Appendix Reporting - $20 Billion - Ongoing Burden Information collection
Section 44.20(d) - Appendix Reporting - $20 Billion - Initial Set-up Information collection
Section 11(a)(8)(i) - Covered Fund Disclosures - Ongoing Burden Information collection
Section 11(a)(8)(i) - Covered Fund Disclosures - Initial Set-up Information collection
Section 20(f)(2) - Compliance Program for Entities with Modest Activities -Ongoing Burden Information collection
Section 20(f)(2) - Compliance Program for Entities with Modest Activities - Initial Set-up Information collection
Section 20(f)(1) - Compliance Program for Entities with No Covered Activities - Ongoing Burden Information collection
Section 20(f)(1) - Compliance Program for Entities with No Covered Activities - Initial Set-up Information collection
Section 20(e) - Additional Documentation for Covered Funds - Ongoing Burden Information collection
Section 20(e) - Additional Documentation for Covered Funds - Initial Set-up Information collection
Section 5(c) - Documentation of Purchases and Sales - Ongoing Burden Information collection
Section 5(c) - Documentation of Purchases and Sales - Initial Set-up Information collection
Section 4(b)(3)(i)(A) - Trading Desk Documentation of Client, Customer or Counterparty - Ongoing Burden Information collection
Section 4(b)(3)(i)(A) - Trading Desk Documentation of Client, Customer or Counterparty - Initial Set-up Information collection
Section 11(a)(2) - Documentation of Advisory Services - Ongoing Burden Information collection
Section 11(a)(2) - Documentation of Advisory Services - Initial Set-up Information collection
Section 12(e) - Application for Extension of Time to Meet Requirements on Ownership Limitations - Ongoing Burden Information collection
Section 12(e) - Application for Extension of Time Meet Requirements on Ownership Limitiations - Initial Set-up Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202604-1557-005 Extension without change of a currently approved collection 2026-04-30
202210-1557-001 Extension without change of a currently approved collection 2023-02-24 Approved without change
202006-1557-003 Revision of a currently approved collection 2020-07-31 Approved without change
202003-1557-003 Revision of a currently approved collection 2020-03-11 Comment filed on proposed rule and continue
201909-1557-002 Revision of a currently approved collection 2019-11-14 Approved without change
201804-1557-017 Revision of a currently approved collection 2018-07-17 Preapproved
201603-1557-005 Extension without change of a currently approved collection 2017-02-22 Approved without change
201311-1557-007 New collection (Request for a new OMB Control Number) 2014-01-31 Approved without change
201107-1557-070 New collection (Request for a new OMB Control Number) 2011-11-07 Comment filed on proposed rule

OMB Details

Section 12(e) - Application for Extension of Time Meet Requirements on Ownership Limitiations - Initial Set-up

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