View Information Collection Request (ICR) Package
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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:
3064-0030
ICR Reference No:
202102-3064-002
Status:
Historical Inactive
Previous ICR Reference No:
202001-3064-005
Agency/Subagency:
FDIC
Agency Tracking No:
3064-0030
Title:
Securities of State Nonmember Banks and State Savings Associations
Type of Information Collection:
Revision of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Comment filed on proposed rule and continue
Conclusion Date:
03/10/2021
Retrieve Notice of Action (NOA)
Date Received in OIRA:
02/04/2021
Terms of Clearance:
OIRA will review the collection again upon finalization of the rule.
Inventory as of this Action
Requested
Previously Approved
Expiration Date
02/28/2023
36 Months From Approved
04/30/2023
Responses
1,533
0
1,533
Time Burden (Hours)
11,546
0
11,546
Cost Burden (Dollars)
0
0
0
Abstract:
Section 12(i) of the Exchange Act grants authority to the Federal banking agencies to administer and enforce Sections 10A(m), 12, 13, 14(a), 14(c), 14(d), 14(f), and 16 of the Exchange Act and Sections 302, 303, 304, 306, 401(b), 404, 406, and 407 of the Sarbanes-Oxley Act of 2002. Pursuant to Section 12(i), the FDIC has the authority, including rulemaking authority, to administer and enforce these enumerated provisions as may be necessary with respect to state nonmember banks and state savings associations over which it has been designated the appropriate Federal banking agency. Section 12(i) generally requires the FDIC to issue regulations substantially similar to those issued by the Securities and Exchange Commission (“SEC”) regulations to carry out these responsibilities. Thus, Part 335 of the FDIC regulations incorporates by cross-reference the SEC rules and regulations regarding the disclosure and filing requirements of registered securities of state nonmember banks and state savings associations.
Authorizing Statute(s):
US Code:
15 USC 781
Name of Law: Securities Exchange Act of 1934
PL:
Pub.L. 107 - 204 116 Stat. 745
Name of Law: Sarbanes-Oxley Act of 2002
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
3064-AF33
Proposed rulemaking
86 FR 8145
02/04/2021
Federal Register Notices & Comments
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
20
IC Title
Form No.
Form Name
10 Registration of Securities
10-C Registration of Securities
10-K Annual Report
10-Q Quaterly Report
12b-25 Notification of Late Filing
13D Certain Beneficial Ownership Changes
13E-3 Going Private Transactions by Certain Issuers of Their Affiliates
13G Certain Acquisitions of Stock
14 Proxy Statements
14C Information Required in Information Statements
15 Certification and Notice of Termination of Registration
25 Notification of Removal from Listing and/or Registration Under Section 12(b) of the Securities Exchange Act of 1934
8-A Registration of Certain Classes of Securities
8-C Registration of Certain Classes of Securities
8-K Current Report
Schedule 14D-1 (Tender Offer)
Securities of Insured Nonmember Bnaks and State Savings Associations
6800-03
Initial Statement of Beneficial Ownership of Securities
Securities of State Nonmember Banks and State Savings Associations
6800-05
Annual Statement of Beneficial Ownership of Securities
Securities of State Nonmember Banks and State Savings Associations
6800-04
Statement of Changes in Beneficial Ownership of Securities
Statement of Policy on Offering Circulars
Burden increases because of Program Change due to Agency Discretion:
Yes
Burden Increase Due to:
Changing Regulations
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
The FDIC is proposing to amend part 335 to create subpart B to contain the existing regulations of part 335 and create subpart A to contain the new proposed regulation relating to securities offering disclosures previously contained in the Statement of Policy. In so doing, the FDIC would create a unified scheme for securities disclosure requirements applicable to FDIC-supervised institutions. This proposal adds new third-party disclosure requirements to this information collection
Annual Cost to Federal Government:
Does this IC contain surveys, censuses, or employ statistical methods?
No
Does this ICR request any personally identifiable information (see
OMB Circular No. A-130
for an explanation of this term)? Please consult with your agency's privacy program when making this determination.
No
Does this ICR include a form that requires a Privacy Act Statement (see
5 U.S.C. §552a(e)(3)
)? Please consult with your agency's privacy program when making this determination.
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?
No
Agency Contact:
Manuel Cabeza 202 898-3781 mcabeza@fdic.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:
02/04/2021
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