Change Requests

Key Information

Previous ICR	202204-1530-002

Federal Register Notices

Abstract

Awards certified to Treasury are paid annually as funds are received from foreign governments. Vouchers are mailed to awardholders showing payments due. Awardholders sign vouchers certifying that he/she is entitled to payment.

Key Information

Previous ICR	202204-1530-005

Federal Register Notices

Authorizing Statutes

Abstract

The information is collected from a voluntary representative of a decedent's estate to support a request for disposition of United States Treasury Securities and/or related payments in the event that the estate is not being administered.

Key Information

Previous ICR	202409-1545-003

Federal Register Notices

Authorizing Statutes

Abstract

These forms and schedules are used to determine that tax-exempt organizations fulfill the operating conditions within the limitations of their tax exemption. The data is also used for general statistical purposes. These forms are used by tax-exempt organizations to specify their items of gross income, receipts and disbursements.

Key Information

Previous ICR	202208-3235-023

Federal Register Notices

Authorizing Statutes

Abstract

Sections 14(d) and 14(e) of the Securities Exchange Act of 1934 (“Exchange Act”) (15 U.S.C. 78n(d) and (e)) govern certain tender offers. Under Exchange Act Rule 14d-1(b) (17 CFR 240.14d-1), the requirements of certain Commission tender offer rules are deemed satisfied in connection with any tender offer (including an exchange offer) for securities of certain Canadian foreign private issuers (where less than 40 percent of the subject class of securities is held by U.S holders) if the tender offer is subject to and complies with certain Canadian law and the disclosures required under Canadian law are filed with the Commission on Schedule 14D-1F (17 CFR 240.14d-102), among other requirements. Under Exchange Act Rule 14e-2(c) (17 CFR 240.14e-2)—in lieu of requirements under certain Commission rules that require companies subject to tender offers to make a recommendation regarding the offer—certain Canadian foreign private issuers that are the subject of a tender offer filed on Schedule 14D-1F shall file on Schedule 14D-9F (17 CFR. 240.14d–103) disclosure required under certain Canadian law. Schedule 14D-9F must also be filed by directors or officers of such companies that are the subject of the tender offer where required by Canadian law. In addition to the Canadian disclosure that is required on Schedule 14D-9F, Schedule 14-9F must include: a legend concerning the nature of the tender offer; exhibits consisting of reports required under Canadian law to be made publicly available and documents incorporated by reference into the Canadian disclosure; and an undertaking to provide requested information to the Commission. Commission rules and related schedules (including Schedule 14D-9F) that require a recommendation regarding a tender offer by the company that is the subject of the tender offer (and by its directors or officers under certain circumstances) provide important information to securityholders in making their investment decision. Schedule 14D-9F is part of the Commission’s multijurisdictional disclosure system, which reduces expense and increases efficiency in connection with filings with the Commission for certain transactions and may encourage Canadian issuers to extend certain transactions to U.S. securityholders, including tender offers. Schedule 14D-9F provides investors in the securities of Canadian foreign private issuers with the filer’s recommended response to a tender offer. This information is important to securityholders in making investment decisions. Disclosure required under Canadian law is a key aspect of the information required on Schedule 14D-9F, which reduces expense and increases efficiency in connection with tender offer filings with the Commission.

Key Information

Previous ICR	202205-1506-001

Federal Register Notices

Authorizing Statutes

Abstract

31 U.S.C. 5316 requires, with limited exceptions, that a person, or an agent or bailee of the person, file a report when the person, agent, or bailee knowingly: (i) transports, is about to transport, or has transported monetary instruments of more than $10,000 at one time from a place in the United States to or through a place outside the United States, or to a place in the United States from or through a place outside the United States; or (ii) receives monetary instruments of more than $10,000 at one time transported into the United States from or through a place outside the United States. The regulations implementing this statutory requirement are found at 31 CFR 1010.340 and 31 CFR 1010.306.

Key Information

Previous ICR	202208-0570-002CF

Key Information

Previous ICR	202207-3038-009

Federal Register Notices

Authorizing Statutes

Abstract

The CFTC requests approval for the extension of the information collections associated with Commission Rule 21.02 (17 CFR 21.02), relating to Market Surveys. Under Commission Rule 21.02, upon call by the Commission, information related to futures or options positions held or introduced by futures commission merchants, members of contract markets, introducing brokers, and foreign brokers and, for options positions, must be furnished by each reporting market. This rule is designed to assist the Commission in prevention of market manipulation and is promulgated pursuant to the Commission’s rulemaking authority contained in section 8a of the Commodity Exchange Act, 7 U.S.C. 12 a (2010). The information is used primarily by Surveillance and Market Analysts in order to fulfill their market surveillance function. Additionally, the data is used to provide a basis for reports to Congress as well as supporting various research projects and reports from Commission economists and analysts.

Key Information

Previous ICR	202208-0570-001CF

Key Information

Previous ICR	202208-0560-003CF

Key Information

Federal Register Notices

Authorizing Statutes

Abstract

Certain financial institutions that are government securities brokers or government securities dealers submit information regarding their government securities activities to their appropriate regulatory authority (ARA) on the forms in this collection. The information on the forms is used by ARAs to ensure compliance with Section 15C(a)(1)(B) of the Securities Exchange Act of 1934 and with the rules of the Department of the Treasury. The SEC is an ARA, but it has not had any of these forms filed with it in the past and does not expect any to be filed with it in the future. An OMB number is being requested, with a single estimated respondent for each form, in the event circumstances changes.

Key Information

Previous ICR	202208-0560-002CF

Key Information

Previous ICR	202205-3235-047

Federal Register Notices

Authorizing Statutes

Abstract

Rule 604, 17 CFR 242.604, under the Securities Exchange Act of 1934, as amended, requires specialists and market makers to publish customer limit orders that are priced superior to the bids or offers being displayed by each such specialist or market maker. Customer limit orders that match the bid or offer being displayed by a specialist or market maker must be published if the limit price also matches the national best bid or offer and the size of the customer limit order is more than de minimis, more than 10% of the specialists or market makers displayed size). The information collection in the Limit Order Display Rule is a third-party disclosure requirement. The information is useful to investors because the publication of trading interest that improves specialists’ and market makers’ quotes presents investors with improved execution opportunities and improved access to the best available prices when they buy or sell securities.

Key Information

Previous ICR	202505-1505-002

Federal Register Notices

Authorizing Statutes

Abstract

On March 11, 2021, the President signed the American Rescue Plan Act of 2021 (the “Act”), Pub. L. No. 117-2. Title III, Subtitle B, Section 3206 of the Act established the Homeowner Assistance Fund and provides $9.961 billion for the U.S. Department of the Treasury (Treasury) to make payments to States (defined to include the District of Columbia, Puerto Rico, U.S. Virgin Islands, Guam, Northern Mariana Islands, and American Samoa), Indian tribes or tribally designated housing entities, as applicable, and the Department of Hawaiian Home Lands (collectively the “eligible entities”) to mitigate financial hardships associated with the coronavirus pandemic, including for the purposes of preventing homeowner mortgage delinquencies, defaults, foreclosures, loss of utilities or home energy services, and displacements of homeowners experiencing financial hardship after January 21, 2020, through qualified expenses related to mortgages and housing. Section 3206(c)(1) requires the eligible entities to use the funds for the purpose of preventing homeowner mortgage delinquencies, defaults, foreclosures, loss of utilities or home energy services, and displacements of homeowners experiencing financial hardship after January 21, 2020, through qualified expenses related to mortgages and housing. Section 3206(e)(1) provides that not later than 45 days after March 11, 2021, the Secretary shall pay each eligible entity. To date, eligible entities have generally received 10% of their allocations.

Key Information

Previous ICR	202203-1506-001

Federal Register Notices

Authorizing Statutes

Abstract

The Secretary is authorized to require any “resident or citizen of the United States or a person in, and doing business in, the United States, to keep records, file reports, or keep records and file reports, when the resident, citizen, or person makes a transaction or maintains a relation for any person with a foreign financial agency.” The term “foreign financial agency” (FFA) applies to an action outside the United States of a “financial agency,” which the statute defines as “a person acting for a person . . . as a financial institution, bailee, depository trustee, or agent, or acting in a similar way related to money, credit, securities, gold, a transaction in money, credit, securities or gold, or a service provided with respect to money, securities, futures, precious metals, stones and jewels, or value that substitutes for currency.” The Secretary is also authorized to prescribe exemptions to the reporting requirement and to prescribe other matters the Secretary considers necessary to carry out 31 U.S.C. 5314. The regulations implementing these authorities to require reports of transactions with FFAs are found at 31 CFR 1010.360.

Key Information

Previous ICR	202204-1530-003

Federal Register Notices

Authorizing Statutes

Abstract

The information is requested to establish the right of a voluntary guardian to conduct transactions on behalf of a mentally incapacitated bond or note owner.

Key Information

Previous ICR	202208-0560-001CF

Key Information

Previous ICR	202301-0524-001CF

Key Information

Previous ICR	202208-1557-002

Federal Register Notices

Authorizing Statutes

Abstract

The National Flood Insurance Act of 1968 (1968 Act) and the Flood Disaster Protection Act of 1973 (FDPA), as amended, (collectively referenced herein as the Federal flood insurance statutes) govern the National Flood Insurance Program (NFIP). These laws make Federally subsidized flood insurance available to owners of improved real estate or mobile homes located in participating communities and require the purchase of flood insurance in connection with a loan made by a regulated lending institution when the loan is secured by improved real estate or a mobile home located in a special flood hazard area (SFHA) in which flood insurance is available under the NFIP. The laws specify the amount of insurance that must be purchased and also require that such insurance be maintained for the term of the loan. (The requirement for flood insurance, and the term and amounts of such coverage, are hereinafter described as “the flood insurance purchase requirement). The OCC, Board, FDIC, FCA, and NCUA (collectively, the Agencies) each have issued regulations implementing these statutory requirements for the lending institutions they supervise. Biggert-Waters Flood Insurance Reform Act of 2012 (Biggert-Waters Act) amends the Federal flood insurance statutes that the Agencies have authority to implement and enforce. Among other things, the Biggert-Waters Act: (1) requires the Agencies to issue a rule regarding the escrow of premiums and fees for flood insurance; (2) clarifies the requirement to force place insurance; and (3) requires the Agencies to issue a rule to direct regulated lending institutions to accept “private flood insurance,” as defined by the Biggert-Waters Act, and to notify borrowers of the availability of private flood insurance.

Key Information

Previous ICR	202203-3064-005

Federal Register Notices

Authorizing Statutes

Abstract

The Market Risk Regulatory Report for Institutions Subject to the Market Risk Capital Rule (FFIEC 102) is filed quarterly by FDIC-supervised banks and savings associations that are subject to the market risk capital rule. A bank, savings association, bank holding company, savings and loan holding company, or U.S. intermediate holding company must apply the market risk capital rule if the institution has aggregate trading assets and trading liabilities, as reported in the institution’s most recent Consolidated Reports of Condition and Income (Call Report) or Consolidated Financial Statements for Holding Companies (FR Y-9C), as applicable, equal to (a) 10 percent or more of quarter-end total assets or (b) $1 billion or more. The data collected in the Market Risk Regulatory Report is needed to assess the reasonableness and accuracy of a market risk institution’s calculation of its minimum capital requirements under the revised market risk capital rule and to evaluate a market risk institution’s capital in relation to its risks. Each market risk institution is required to file the FFIEC 102. The FFIEC 102 allows the agencies to better track growth in the more credit-risk related, less liquid, and less actively traded products subject to the market risk rule.

Key Information

Previous ICR	202310-0938-006

Federal Register Notices

Authorizing Statutes

Abstract

The Centers for Medicare & Medicaid Services (CMS) has fielded the Medicare Health Outcomes Survey (HOS) annually since 1998. The HOS is a national survey of Medicare managed care plan enrollees that provides data that permit the calculation of both longitudinal and cross-sectional measures of plan performance that are publicly reported to assist Medicare beneficiaries in making enrollment decisions. This request is to conduct a field test to evaluate potential new survey items, alternatives to existing survey content, and the effects of a web-based survey administration mode on response patterns and measure scores. CMS’s goal is a refined and shorter HOS survey instrument with new and methodologically simpler cross-sectional and longitudinal measures, expanded measurement of physical functioning and mental health, and the addition of survey items that support CMS’s efforts to measure and address health equity.

Key Information

Previous ICR	202207-3235-022

Federal Register Notices

Authorizing Statutes

Abstract

Rule 15c3-5 (17 CFR 240.15c3-5) under the Securities Exchange Act of 1934 (Exchange Act) requires brokers or dealers with access to trading directly on an exchange or alternative trading system, including those providing sponsored or direct market access to customers or other persons, to implement risk management controls and supervisory procedures reasonably designed to manage the financial, regulatory, and other risks of this business activity. The rule requires brokers or dealers to establish, document, and maintain certain risk management controls and supervisory procedures as well as regularly review such controls and procedures, and document the review, and remediate issues discovered to assure overall effectiveness of such controls and procedures. Each such broker or dealer is required to preserve a copy of its supervisory procedures and a written description of its risk management controls as part of its books and records in a manner consistent with Rule 17a-4(e)(7) under the Exchange Act. Such regular review is required to be conducted in accordance with written procedures and is required to be documented. The broker or dealer is required to preserve a copy of such written procedures, and documentation of each such review, as part of its books and records in a manner consistent with Rule 17a-4(e)(7) under the Exchange Act, and Rule 17a-4(b) under the Exchange Act, respectively. In addition, the Chief Executive Officer (or equivalent officer) is required to certify annually that the broker or dealers risk management controls and supervisory procedures comply with the rule, and that the broker-dealer conducted such review. Such certifications are required to be preserved by the broker or dealer as part of its books and records in a manner consistent with Rule 17a-4(b) under the Exchange Act.

Key Information

Previous ICR	202411-1545-007

Federal Register Notices

Authorizing Statutes

Abstract

These forms are used by businesses to report their income tax liability. The data is used to verify that the items reported on the forms are correct, and also for general statistics use.

Key Information

Previous ICR	202210-1190-001

Federal Register Notices

Authorizing Statutes

Abstract

Department of Justice (DOJ) Civil Rights Division (CRT), Disability Rights Section (DRS), requests PRA approval of a currently approved collection that requires movie theaters (respondents) to disclose information to the public regarding the availability of closed movie captioning and audio description for movies shown in their auditoriums. Movie patrons will use this information to determine which movie showings are accessible to individuals with hearing and vision disabilities.

Key Information

Previous ICR	202207-3245-001

Federal Register Notices

Authorizing Statutes

Abstract

Small business owners may use this form to submit comments on Federal enforcement/compliance actions that they consider excessive or unfair. The National Ombudsman will use the information when it contacts the applicable Federal agency for a review of the action. Completion of this form is voluntary; however, failure to submit the requested information could impact whether SBA’s Office of the National Ombudsman is able to provide you with assistance.

Key Information

Previous ICR	202207-1117-002

Federal Register Notices

Authorizing Statutes

Abstract

The Drug Enforcement Administration collects information regarding mail order transactions conducted between a person regulated by the agency and a nonregulated person (that is, someone who does not further distribute the product) involving the chemicals ephedrine, pseudoephedrine, and phenylpropanolamine. Transactions must use, or attempt to use, the United States Postal Service or any private or commercial carrier. This collection of information is mandated by 21 U.S.C. 830(b)(3), and permits the agency to monitor the distribution of ephedrine, pseudoephedrine and phenylpropanolamine, chemicals which are subject to diversion for the illicit manufacture of methamphetamine.