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:
3235-0037
ICR Reference No:
202409-3235-021
Status:
Active
Previous ICR Reference No:
202110-3235-011
Agency/Subagency:
SEC
Agency Tracking No:
TM-270-029
Title:
Reporting of missing, lost, stolen or counterfeit securities (17 CFR Section 240.17f-1(c); Form X-17F-1A (17 CFR Section 249.100)
Type of Information Collection:
Extension without change of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved with change
Conclusion Date:
01/14/2025
Retrieve Notice of Action (NOA)
Date Received in OIRA:
12/02/2024
Terms of Clearance:
Correct supporting statement uploaded during OMB review.
Inventory as of this Action
Requested
Previously Approved
Expiration Date
01/31/2028
36 Months From Approved
02/28/2025
Responses
3,550
0
303,000
Time Burden (Hours)
980
0
25,250
Cost Burden (Dollars)
0
0
0
Abstract:
Rule 17f-1(c) requires reporting institutions to report, lost, stolen, missing, or counterfeit securities to a central data base. Form X-17F-1A facilitates the accurate reporting and precise and immediate data entry into the computerized database. Exchanges, securities associations and the members, broker-dealers, transfer agents, and clearing agencies and their participants, FDIC banks, and Federal Reserve member banks must comply with the rule.
Authorizing Statute(s):
None
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:
89 FR 78919
09/26/2024
30-day Notice:
Federal Register Citation:
Citation Date:
89 FR 95255
12/02/2024
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
3
IC Title
Form No.
Form Name
Form X-17F-1A
SEC 1666
Form X-17F-1A
Rule 17f-1(c)
Rule 17f-1(c)
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
3,550
303,000
0
0
-299,450
0
Annual Time Burden (Hours)
980
25,250
0
0
-24,270
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 number of institutions that submitted reports has decreased. The previous reports assumed every reporting institution submitted reports. New data has shown that only 115 institutions submitted reports on average. The Commission is increasing the total burden hour estimate due to the change in vendor operating the Program. Accenture Federal Services LLC (“Accenture”) will begin operating the Program on January 1, 2025. To establish connectivity with Accenture’s platform, 50 reporting institutions will incur a onetime hourly burden and an annual burden to maintain connectivity.
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.
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:
Elizabeth De Boyrie 202 551-5989
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:
12/02/2024
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