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OMB Control No: 1557-0106	ICR Reference No: 201210-1557-001
Status: Historical Active	Previous ICR Reference No: 201109-1557-004
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Securities Exchange Act Disclosure Rules (12 CFR 11 and 12 CFR 194)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 04/10/2013
	Date Received in OIRA: 01/14/2013
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2016	36 Months From Approved	04/30/2013
Responses	78	0	390
Time Burden (Hours)	523	0	27,314
Cost Burden (Dollars)	0	0	0

Abstract: 12 CFR Part 11 requires registered national banks to file SEC forms concerning their securities transactions with the OCC. The OCC needs the information to ensure compliance with Federal law. Investors, depositors, and the public use the information to make informed investment decisions.

Authorizing Statute(s): US Code: 15 USC 7241 et seq. Name of Law: Sarbanes-Oxley Act of 2002
US Code: 15 USC 78l, 78m Name of Law: Securities Exchange Act of 1934

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 124 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 65054	10/24/2012
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 2719	01/14/2013
Did the Agency receive public comments on this ICR? No

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	78	390	-312
Annual Time Burden (Hours)	523	27,314	-26,791
Annual Cost Burden (Dollars)	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Changing Regulations

Short Statement: The decrease in burden is due to the re-estimation of the burden carried by the Office of Thrift Supervision ("OTS") prior to the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act and the enactment of the JOBS Act as described below. On April 5, 2012, the Jumpstart Our Business Startups Act (the "JOBS Act") amended the Securities Exchange Act of 1934 ("Exchange Act") to raise the initial registration threshold for national banks and Federal savings associations under section 12(g) of the Exchange Act to 2,000 holders of record. It also amended the Exchange Act to allow registered national banks and Federal savings associations with less than 1,200 holders of record to terminate Exchange Act Section 12(g) registration. The JOBS Act was effective on enactment. Former burden: 147 respondents; 390 responses, 27,314 burden hours New burden: 14 respondents; 78 responses; 523 burden hours Difference: - 133 respondents; - 312 responses; - 26,791.5 burden hours

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Yes

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

Agency Contact: Michael Dugas 202 874-5210

View ICR - OIRA Conclusion