View Information Collection Request (ICR) Package
Skip to main content
An official website of the United States government
The .gov means it's official.
Federal government websites often end in .gov or .mil. Before sharing sensitive information, make sure you're on a federal government site.
The site is secure.
The https:// ensures that you are connecting to the official website and that any information you provide is encrypted and transmitted securely.
Search:
Agenda
Reg Review
ICR
This script is used to control the display of information in this page.
Display additional information by clicking on the following:
All
Brief and OIRA conclusion
Abstract/Justification
Legal Statutes
Rulemaking
FR Notices/Comments
IC List
Burden
Misc.
Common Form Info.
Certification
View Information Collection (IC) List
View Supporting Statement and Other Documents
Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
1530-0064
ICR Reference No:
201601-1530-002
Status:
Historical Active
Previous ICR Reference No:
201406-1535-001
Agency/Subagency:
TREAS/FISCAL
Agency Tracking No:
Final Rule
Title:
Implementing Regulations: Government Securities Act of 1986, as amended
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:
01/28/2016
Retrieve Notice of Action (NOA)
Date Received in OIRA:
01/28/2016
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
07/31/2018
36 Months From Approved
Responses
8,293
0
8,285
Time Burden (Hours)
283,090
0
282,986
Cost Burden (Dollars)
0
0
0
Abstract:
The regulations require government securities broker/dealers to make and keep certain records concerning government securities activities, to submit financial reports, and make certain disclosures to investors. The regulations also require depository institutions to keep certain records of non-fiduciary custodial holdings of government securities. The regulations and associated collections are fundamental to customer protection and financial responsibility.
Authorizing Statute(s):
US Code:
17 USC CFR Title 17 Chapter IV
Citations for New Statutory Requirements:
US Code: 15 USC 780-5 Name of Law: Government Securities Act
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
1505-AA00
Final or interim final rulemaking
79 FR 73408
12/10/2014
Federal Register Notices & Comments
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
1
IC Title
Form No.
Form Name
Implementing Regulations: Government Securities Act of 1986, as amended
G-FIN-4, G-FIN-5, G-405 PART I, G-405 PART II, G-405 PART IIA, G-405 PART III, G-405 SCH I
Disclosure Form for Person Associated with a Financial Institution Government Securities Broker or Dealer
,
Uniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or Dealer
,
Report on Finances and Operations of Government Securities Brokers and Dealers
,
Report on Finances and Operations of Government Securities Brokers and Dealers
,
Report on Finances and Operations of Government Securities Brokers and Dealers
,
Report on Finances and Operations of Government Securities Brokers and Dealers
,
Report on Finances and Operations of Government Securities Brokers and Dealers
ICR Summary of Burden
Total Approved
Previously Approved
Change Due to New Statute
Change Due to Agency Discretion
Change Due to Adjustment in Estimate
Change Due to Potential Violation of the PRA
Annual Number of Responses
8,293
8,285
8
0
0
0
Annual Time Burden (Hours)
283,090
282,986
104
0
0
0
Annual Cost Burden (Dollars)
0
0
0
0
0
0
Burden increases because of Program Change due to Agency Discretion:
No
Burden Increase Due to:
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
The 104 hour annual burden increase is due to an increase in the estimated number of reporting entities that may be required to submit reports under the December 2014 final rule amendments to Treasury's large position reporting rules. Treasury estimates an increase from 12 to 20 respondents and an increase from 8 to 10 hours per respondent. Because the final rule amendments would also require more detailed information to be provided by entities that file reports, Treasury is increasing the annual reporting burden by 104 hours.
Annual Cost to Federal Government:
$148,600
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]?
No
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:
Bruce Sharp 304 480-8112 Bruce.Sharp@bpd.treas.gov
Common Form ICR:
No
On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
(a) It is necessary for the proper performance of agency functions;
(b) It avoids unnecessary duplication;
(c) It reduces burden on small entities;
(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
(f) It indicates the retention periods for recordkeeping requirements;
(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
(i) Why the information is being collected;
(ii) Use of information;
(iii) Burden estimate;
(iv) Nature of response (voluntary, required for a benefit, or mandatory);
(v) Nature and extent of confidentiality; and
(vi) Need to display currently valid OMB control number;
(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
(i) It uses effective and efficient statistical survey methodology (if applicable); and
(j) It makes appropriate use of information technology.
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
Certification Date:
12/18/2014
Something went wrong when downloading this file. If you have any questions, please send an email to risc@gsa.gov.