Recordkeeping and Confirmation Requirements for Securities Transactions

OMB 3064-0028

The collection of information requirements are contained in 12 CFR Part 344. The purpose of the regulation is to ensure that purchasers of securities in transactions affected by insured state nonmember banks are provided with adequate records concerning the transactions. The regulation is also designed to ensure that insured state nonmember banks maintain adequate records and controls with respect to the securities transactions they effect. Finally, this regulation requires officers and employees of FDIC-supervised institutions to report to the FDIC-supervised institution certain personal securities trading activity.

The latest form for Recordkeeping and Confirmation Requirements for Securities Transactions expires 2021-11-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
FR2-0028 Securities Transactions 86 FR 67707 Nov 22 2021.pdf Supplementary Document
FR1-00~1.PDF Supplementary Document
3064-0028 SPST FINAL (2021) (WP).docx Supporting Statement A
Recordkeeping and Confirmation Requirements for Securities Transactions - 344.4
Officer/Employee Filing of Reports of Personal Securities Trading Transactions - 344.9 (assumes 5 officers/employees at each institution with income from securities broker activity)
Provide Customer with Copy of Broker/Dealer Confirmation and Remuneration Received OR Written Notification or Alternative Notification - 344.5 and 344.6
Maintain Securities Trading Policies and Procedures - 344.8

All Historical Document Collections

202109-3064-006 Approved without change	Revision of a currently approved collection	2021-11-29
201804-3064-004 Approved without change	Revision of a currently approved collection	2018-09-28
201505-3064-004 Approved without change	Extension without change of a currently approved collection	2015-06-26
201203-3064-004 Approved without change	Extension without change of a currently approved collection	2012-07-16
200903-3064-007 Approved without change	Revision of a currently approved collection	2009-05-26
200605-3064-002 Approved without change	Extension without change of a currently approved collection	2006-05-24
200304-3064-002 Approved without change	Extension without change of a currently approved collection	2003-04-04
200002-3064-002 Approved without change	Extension without change of a currently approved collection	2000-02-24
199702-3064-002 Approved without change	Revision of a currently approved collection	1997-02-25
199506-3064-002 Approved without change	Extension without change of a currently approved collection	1995-06-08
199204-3064-001 Approved without change	Revision of a currently approved collection	1992-04-17
198904-3064-005 Approved with change	No material or nonsubstantive change to a currently approved collection	1989-04-07
198904-3064-002 Approved with change	No material or nonsubstantive change to a currently approved collection	1989-04-04
198904-3064-001 Approved without change	Revision of a currently approved collection	1989-04-13
198808-3064-029 Approved with change	No material or nonsubstantive change to a currently approved collection	1988-08-11
198802-3064-001 Approved without change	Revision of a currently approved collection	1988-02-10
198708-3064-014 Approved with change	No material or nonsubstantive change to a currently approved collection	1987-08-13
198702-3064-001 Approved without change	Revision of a currently approved collection	1987-02-20
198609-3064-018 Approved with change	No material or nonsubstantive change to a currently approved collection	1986-09-08
198602-3064-001 Approved without change	Revision of a currently approved collection	1986-02-05
198510-3064-019 Approved with change	No material or nonsubstantive change to a currently approved collection	1985-10-25
198407-3064-005 Approved without change	Revision of a currently approved collection	1984-07-30
198109-3064-002 Approved without change	Extension without change of a currently approved collection	1981-09-21
198104-3064-028 Approved without change	Revision of a currently approved collection	1981-04-30

OMB Details

Recordkeeping and Confirmation Requirements for Securities Transactions - 344.4

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight