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:
7100-0091
ICR Reference No:
202203-7100-002
Status:
Historical Active
Previous ICR Reference No:
202002-7100-015
Agency/Subagency:
FRS
Agency Tracking No:
FR H-1
Title:
Reporting and Disclosure Requirements Associated with Regulation H (Securities of State Member Banks)
Type of Information Collection:
No material or nonsubstantive change to a currently approved collection
Common Form ICR:
No
Type of Review Request:
Delegated
OIRA Conclusion Action:
Approved without change
Conclusion Date:
02/26/2023
Retrieve Notice of Action (NOA)
Date Received in OIRA:
02/26/2023
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
02/28/2023
02/28/2023
02/28/2023
Responses
120
0
120
Time Burden (Hours)
6,649
0
6,866
Cost Burden (Dollars)
0
0
0
Abstract:
The Board’s Regulation H - Membership of State Banking Institutions in the Federal Reserve System (12 CFR Part 208) requires state member banks (SMBs) whose securities are subject to registration pursuant to the Securities Exchange Act of 1934 (Exchange Act) to disclose certain information to shareholders and securities exchanges and to report information relating to their securities to the Board using forms adopted by the Securities and Exchange Commission (SEC) and in compliance with certain rules and regulations adopted by the SEC.
Authorizing Statute(s):
US Code:
15 USC 78w(a)(1)
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 78l(i)
Name of Law: Securities Exchange Act of 1934
Citations for New Statutory Requirements:
None
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:
84 FR 39845
08/12/2019
30-day Notice:
Federal Register Citation:
Citation Date:
84 FR 68451
12/16/2019
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
17
IC Title
Form No.
Form Name
Disclosure Form 3 (17 CFR 240.16a-3(k))
Disclosure Form 4 (17 CFR 240.16a-3(k))
Disclosure Form 5 (17 CFR 240.16a-3(k))
Reporting Form 10 (17 CFR 249.210)
Reporting Form 10-K (17 CFR 249.310)
Reporting Form 10-Q (17 CFR 249.308a)
Reporting Form 8-A (17 CFR 249.208a)
Reporting Form 8-K (17 CFR 249.308)
Reporting Regulation 12B (17 CFR 240.12b-1 through 240.12b-37)
Reporting Regulation 14D (17 CFR 240.14d-1 through 240.14d-103) and Schedule 14D-9 (17 CFR 240.14d-101)
Reporting Rule 13e-l (17 CFR 240.13e-1)
Reporting and Disclosure Form 15 (17 CFR 249.323)
Reporting and Disclosure Regulation 14A (17 CFR 240.14a-1 et seq.) and Schedule 14A (17 CFR 240.14a-101)
Reporting and Disclosure Regulation 14C (17 CFR 240.14c-1 et seq.) and Schedule 14C (17 CFR 240.14c-101)
Reporting and Disclosure Rule 12b-25 (17 CFR 240.12b-25) and Form 12b-25 (17 CFR 249.322)
Reporting and Disclosure Rule 13e-3 (17 CFR 240.13e) and Schedule 13E-3 (17 CFR 240.13e-100)
Reporting and Disclosure Rule 14f-l (17 CFR 240.14f-l)
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
120
120
0
0
0
0
Annual Time Burden (Hours)
6,649
6,866
0
0
-217
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 decrease in total annual burden hours reflects adjustments to the estimated average hours per response based on SECs estimates.
Annual Cost to Federal Government:
$0
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.
Yes
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:
Keaton Cobble 202 262-7515 keaton.e.cobble@frb.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:
02/26/2023
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