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Federal forms, ICRs, and supporting documents

OMB control number

Recordkeeping and Disclosure Requirements Associated with Regulation H (Securities Transactions by State Member Banks)

OMB 7100-0196 · FRS.

OMB 7100-0196

Section 15C of the Securities Exchange Act of 1934 (the Act) establishes federal regulation of brokers and dealers of government securities, including banks and other financial institutions, and directs those brokers and dealers to keep certain records. These requirements are implemented for state member banks in section 208.34 of the Board’s Regulation H - Membership of State Banking Institutions in the Federal Reserve System (12 CFR Part 208), which requires that non-exempt state member banks effecting securities transactions for customers establish and maintain a system of records of these transactions, furnish confirmations of transactions to customers that disclose certain information, and establish written policies and procedures relating to securities trading. Regulation H also indirectly imposes certain disclosure requirements on certain state member bank employees and officers.

The latest form for Recordkeeping and Disclosure Requirements Associated with Regulation H (Securities Transactions by State Member Banks) expires 2027-02-28 and is listed under ICR 202402-7100-004.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
FRH3_20240227_omb.pdfSupporting Statement A
Recordkeeping Section 208.34(g) State member banks (de novo) Establish policies and procedures Information collection
Disclosure Section 208.34(g) Officers and employees of state member banks with trust departments Employee quarterly report Information collection
Disclosure Section 208.34(d) State member banks without trust departments Securities transactions Information collection
Disclosure Section 208.34(d) State member banks with trust departments Securities transactions Information collection
Recordkeeping Section 208.34(g) State member banks without trust departments Policies and procedures Information collection
Recordkeeping Section 208.34(c) State member banks without trust departments Securities transactions Information collection
Recordkeeping Section 208.34(g) State member banks with trust departments Employee quarterly report Information collection
Recordkeeping Section 208.34(g) State member banks with trust departments Policies and procedures Information collection
Recordkeeping Section 208.34(c) State member banks with trust departments Securities transactions Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202402-7100-004 Extension without change of a currently approved collection 2024-02-27 Approved without change
202402-7100-003 No material or nonsubstantive change to a currently approved collection 2024-02-27 Approved without change
202102-7100-008 Extension without change of a currently approved collection 2021-02-25 Approved without change
202102-7100-004 No material or nonsubstantive change to a currently approved collection 2021-02-25 Approved without change
201802-7100-010 Extension without change of a currently approved collection 2018-02-23 Approved without change
201802-7100-005 No material or nonsubstantive change to a currently approved collection 2018-02-21 Approved without change
201404-7100-005 Extension without change of a currently approved collection 2014-07-22 Approved without change
201404-7100-003 No material or nonsubstantive change to a currently approved collection 2014-04-09 Approved without change
201007-7100-001 Extension without change of a currently approved collection 2010-09-30 Approved without change
201006-7100-009 No material or nonsubstantive change to a currently approved collection 2010-06-22 Approved without change
201004-7100-008 No material or nonsubstantive change to a currently approved collection 2010-04-30 Approved without change
200708-7100-007 Extension without change of a currently approved collection 2007-10-31 Approved without change
200708-7100-002 No material or nonsubstantive change to a currently approved collection 2007-08-23 Approved without change
200706-7100-006 No material or nonsubstantive change to a currently approved collection 2007-07-13 Approved without change
200410-7100-002 Extension without change of a currently approved collection 2004-10-22 Approved without change
200407-7100-007 No material or nonsubstantive change to a currently approved collection 2004-07-29 Approved without change
200112-7100-006 No material or nonsubstantive change to a currently approved collection 2001-12-13 Approved without change
200112-7100-002 Extension without change of a currently approved collection 2001-12-27 Approved without change
200109-7100-001 No material or nonsubstantive change to a currently approved collection 2001-09-28 Approved without change
199812-7100-002 Extension without change of a currently approved collection 1998-12-10 Approved without change
199807-7100-004 No material or nonsubstantive change to a currently approved collection 1998-07-29 Approved with change
199807-7100-002 No material or nonsubstantive change to a currently approved collection 1998-07-10 Approved with change
199509-7100-007 Reinstatement without change of a previously approved collection 1995-09-28 Approved without change
199108-7100-004 No material or nonsubstantive change to a currently approved collection 1991-08-28 Approved with change
198906-7100-053 No material or nonsubstantive change to a currently approved collection 1989-06-06 Approved with change
198904-7100-005 No material or nonsubstantive change to a currently approved collection 1989-04-10 Approved with change
198904-7100-001 No material or nonsubstantive change to a currently approved collection 1989-04-03 Approved with change
198807-7100-008 Revision of a currently approved collection 1988-07-27 Approved without change
198805-7100-005 No material or nonsubstantive change to a currently approved collection 1988-05-18 Approved with change
198409-7100-004 No material or nonsubstantive change to a currently approved collection 1984-09-17 Approved with change
198408-7100-025 No material or nonsubstantive change to a currently approved collection 1984-08-30 Approved with change
198408-7100-002 New collection (Request for a new OMB Control Number) 1984-08-17 Approved without change

OMB Details

Recordkeeping Section 208.34(g) State member banks (de novo) Establish policies and procedures

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight