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Federal forms, ICRs, and supporting documents

OMB control number

Recordkeeping and Confirmation Requirements for Securities Transactions

OMB 3064-0028 ยท FDIC.

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 2028-01-31 and is listed under ICR 202410-3064-001.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
FR2 0028 Securities Transactions 89 FR 84136 Oct 21 2024.pdf Supplementary Document
FR1 0028 Securities Transactions 89 FR 67635 Aug 21 2024.pdf Supplementary Document
3064-0028 SPST Recordkeeping and Confirmation Requirements for Securities Transactions 2024.docxSupporting Statement A
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) Information collection
Maintain Securities Trading Policies and Procedures - 344.8 Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202410-3064-001 Extension without change of a currently approved collection 2024-10-23
202109-3064-006 Revision of a currently approved collection 2021-11-29 Approved without change
201804-3064-004 Revision of a currently approved collection 2018-09-28 Approved without change
201505-3064-004 Extension without change of a currently approved collection 2015-06-26 Approved without change
201203-3064-004 Extension without change of a currently approved collection 2012-07-16 Approved without change
200903-3064-007 Revision of a currently approved collection 2009-05-26 Approved without change
200605-3064-002 Extension without change of a currently approved collection 2006-05-24 Approved without change
200304-3064-002 Extension without change of a currently approved collection 2003-04-04 Approved without change
200002-3064-002 Extension without change of a currently approved collection 2000-02-24 Approved without change
199702-3064-002 Revision of a currently approved collection 1997-02-25 Approved without change
199506-3064-002 Extension without change of a currently approved collection 1995-06-08 Approved without change
199204-3064-001 Revision of a currently approved collection 1992-04-17 Approved without change
198904-3064-005 No material or nonsubstantive change to a currently approved collection 1989-04-07 Approved with change
198904-3064-002 No material or nonsubstantive change to a currently approved collection 1989-04-04 Approved with change
198904-3064-001 Revision of a currently approved collection 1989-04-13 Approved without change
198808-3064-029 No material or nonsubstantive change to a currently approved collection 1988-08-11 Approved with change
198802-3064-001 Revision of a currently approved collection 1988-02-10 Approved without change
198708-3064-014 No material or nonsubstantive change to a currently approved collection 1987-08-13 Approved with change
198702-3064-001 Revision of a currently approved collection 1987-02-20 Approved without change
198609-3064-018 No material or nonsubstantive change to a currently approved collection 1986-09-08 Approved with change
198602-3064-001 Revision of a currently approved collection 1986-02-05 Approved without change
198510-3064-019 No material or nonsubstantive change to a currently approved collection 1985-10-25 Approved with change
198407-3064-005 Revision of a currently approved collection 1984-07-30 Approved without change
198109-3064-002 Extension without change of a currently approved collection 1981-09-21 Approved without change
198104-3064-028 Revision of a currently approved collection 1981-04-30 Approved without change

OMB Details

Maintain Securities Trading Policies and Procedures - 344.8

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight