Change Requests

Key Information

Previous ICR	202412-1210-005

Federal Register Notices

Authorizing Statutes

Abstract

The Health Insurance Portability and Accountability Act of 1996 (HIPAA), codified as part 7 of title I of the Employee Retirement Security Act of 1974 (ERISA), was enacted to improve the portability and continuity of health care coverage for participants and beneficiaries of group health plans. HIPAA also added section 101(g) to ERISA, providing the Secretary of Labor (Secretary) with authority to require, by regulation, multiple employer welfare arrangements (MEWAs) as defined in section 3(40) of ERISA, that offer or provide coverage for medical benefits but which are not group health plans (non-plan MEWAs), to report annually for the purpose of determining compliance with part 7 requirements. While the statutory authority was directed at non-plan MEWAs, based on the authority in ERISA sections 101(g), 505, and 734, the Department of Labor (Department) in 2003 promulgated a regulation at 29 CFR 2520.101-2 that required the administrators of both plan MEWAs and non-plan MEWAs that offer or provide coverage for medical benefits, as well certain entities that claim not to be a MEWA solely due to the exception in section 3(40)(A)(i) of ERISA (referred to as “Entities Claiming Exception” or “ECEs”), to file the Form M-1 on an annual basis (Form M-1 annual report). The Patient Protection and Affordable Care Act and the Health Care and Education Reconciliation Act of 2010 (these are collectively known as the “Affordable Care Act” or “ACA”) amended section 101(g) of ERISA to require non-plan MEWAs that provide benefits consisting of medical care to register with the Secretary before operating in a State. In 2011, the Department amended the Form M-1 reporting regulations to enact the ACA required provisions by requiring all MEWAs (plan and non-plan MEWAs) that offer or provide coverage for medical benefits and ECEs to register with the Secretary upon occurrence of certain registration events, such as prior to operating in a State, in addition to continued reporting on an annual basis regarding compliance with part 7 of ERISA.

Key Information

Previous ICR	202208-3235-013

Federal Register Notices

Authorizing Statutes

Abstract

Rule 17a-1, 17 CFR 240.17a-1, requires that all national securities exchanges and associations, registered clearing agencies, and the Municipal Securities Rulemaking Board keep on file for a period of five, two years in an accessible place, all documents that they make or receive respecting their self-regulatory activities, and that such documents be made available for examination by the Commission.

Key Information

Previous ICR	202303-3235-012

Federal Register Notices

Authorizing Statutes

Abstract

Generally, Section 5 of the Securities Act of 1933 (the “Securities Act”) requires that a registration statement be filed with the Commission before any securities are publicly offered and that the registration statement be effective before any securities are sold. Section 5(b) of the Securities Act further requires that investors be furnished with a prospectus (which constitutes a major part of each registration statement) containing the information to enable them to evaluate the securities and make informed investment decisions. Section 7 and Schedule A of the Securities Act delineate the information required to be contained in a registration statement. Section 7 expressly gives the Commission the authority to vary such disclosure for various classes of issuers and securities. Pursuant to this authority, the Commission adopted Form S-8 (17 CFR 239.16b), a simplified registration statement that may be used to register securities offered under employee benefit plans. A principal function of the Commission’s forms and rules is to make material information available to investors and other market participants. The information required by Form S-8 informs security holders, investors, broker dealers, investment banking firms, professional securities analysts, and others when making investment and voting decisions in connection with the securities.

Key Information

Previous ICR	202204-3235-004

Federal Register Notices

Authorizing Statutes

Abstract

Rule 17a-3, 17 CFR 240.17a-3, requires certain records to be made by certain exchange members and registered brokers and dealers. The rule serves to standardize prudent business practices. Among other things, these records are essential for regulatory purposes including examinations, investigations, and enforcement proceedings, which are significant customer protection safeguards.

Key Information

Federal Register Notices

Abstract

The Healthcare Competition Complaint form facilitates reporting by members of the public of complaints, concerns, or information regarding potential antitrust violations. Respondents will be able to complete and submit information electronically through the Healthcare Competition Complaint form on the Department of Justice’s website.

Key Information

Previous ICR	202208-1545-011

Federal Register Notices

Authorizing Statutes

Abstract

This document contains previously approved final regulations replacing the existing regulation that establishes the procedures to be followed by IRS officers and employees upon receipt of a request or demand for disclosure of IRS records or information. The purpose of the final regulations is to provide specific instructions and to clarify the circumstances under which more specific procedures take precedence. The final regulations extend the application of the regulation to former IRS officers and employees as well as to persons who are or were under contract to the IRS. The final regulations affect current and former IRS officers, employees and contractors, and persons who make requests or demands for disclosure.

Key Information

Previous ICR	202305-3235-008

Federal Register Notices

Authorizing Statutes

Abstract

Sections 12(a), 12(b), and 13 of the Securities Exchange Act of 1934 (the “Exchange Act”) help ensure that investors receive sufficient issuer-oriented information to make informed investment decisions. Section 12(a) prohibits any broker or dealer from trading a security on a national securities exchange unless the security is registered under the Exchange Act. With respect to a security being registered on a national securities exchange, Section 12(b) authorizes the Securities and Exchange Commission (the “Commission”) to require the issuer to disclose specific kinds of information, such as information about the issuer’s organization, financial structure, business, and securities. Section 13 requires every issuer of a security registered pursuant to Section 12 to file periodic and current reports with the Commission. Section 12(g) of the Exchange Act generally requires issuers that have total assets exceeding $10,000,000 and a class of equity security held of record by either 2,000 persons or 500 persons who are not accredited investors to register such equity security with the Commission. Form 10 (17 CFR 249.210) is the general form adopted by the Commission for the registration of securities pursuant to Section 12(b) or 12(g) of the Exchange Act. Form 10 requires financial information and other disclosures about matters such as the issuer’s business, properties, identity and remuneration of management, outstanding securities, securities to be registered, and financial condition. The information collected on Form 10 is intended to ensure that investors in a class of Section 12-registered securities have sufficient information regarding such securities and their issuer necessary to make informed investment and voting decisions.

Key Information

Previous ICR	202205-1110-002

Federal Register Notices

Authorizing Statutes

Abstract

Comprehensive violent crime case information submitted to ViCAP by law enforcement is maintained in the Congressionally mandated repository (ViCAP National Crime Database) and is compared to all other cases in the database to identify potentially related cases.

Key Information

Previous ICR	202209-1545-001

Federal Register Notices

Authorizing Statutes

Abstract

Internal Revenue Code section 7513 allows taxpayers to request a copy of a tax return or related products. Form 4506-C is used to permit the cleared and vetted Income Verification Express Service (IVES) participants to request tax return information on the behalf of the authorizing taxpayer.

Key Information

Previous ICR	202301-0583-008

Federal Register Notices

Authorizing Statutes

Abstract

The purpose of this collection is to require foreign governments of countries that import meat, poultry, or egg products into the United States to submit more information with the certificates they are already required to submit, and require import inspection establishments to maintain written Sanitation Standard Operating Procedures. Additionally, when FSIS inspected and passed product is exported and then returned to this country, the owner, broker, or agent of the product (the applicant) arranges for the product’s entry and notifies FSIS. As part of this process, the applicant completes the FSIS Form 9010-1, Application for the Return of Exported Products to the United States.

Key Information

Previous ICR	202205-1545-019

Federal Register Notices

Authorizing Statutes

Abstract

Section 884 of the American Jobs Creation Act of 1004 (Public Law 108-357) added paragraph 12 to section 170(f) for contributions of used motor vehicles, boats, and airplanes. Section 170(f)(12) requires that a donee organization provide an acknowledgement to the donor of this type of property and is required to file the same information to the Internal Revenue Service. Form 1098-C may be used as the acknowledgement and it, or an acceptable substitute, must be filed with the IRS.

Key Information

Previous ICR	202209-3235-007

Federal Register Notices

Authorizing Statutes

Abstract

Rule 17a-6 (17 CFR 270.17a-6) under the Investment Company Act of 1940 (the “Act”), permits a fund, or a company controlled by the fund and a “portfolio affiliate,” to engage in principal transactions in which it is unlikely that the portfolio affiliate would be in a position to take advantage of the fund (i.e., there is a material financial interest in the transaction). A fund cannot rely on rule 17a-6, if the fund’s directors, employees or investment adviser) have a financial interest in a party to the principal transaction. Rule 17a-6 defines what interests are not “financial interests” for purposes of the exemption. For certain types of “financial interests”, for a fund to rely on rule 17a-6, the fund’s board, including a majority of the directors who are not interested persons of the fund, must find that the that the “financial interests” are not material to the decision to enter into the principal transaction. In addition, the board is required to record the basis for its decision in its meeting minutes.

Key Information

Previous ICR	202411-3064-001

Federal Register Notices

Abstract

The FDIC will use the Visitor Notification form to collect biographical, passport (for foreign nationals), and employment information from certain visitors to the FDIC in order to assess the risk to FDIC facilities and personnel. The FDIC will require certain visitors to FDIC facilities, including support staff and interpreters, to complete and submit the form.

Key Information

Previous ICR	202202-1652-003

Federal Register Notices

Authorizing Statutes

Abstract

The Airspace Waiver program allows aircraft operators to request permission to fly in restricted airspace. The information collected through the Airspace Waiver applications will enable TSA to perform a background check on each individual on the aircraft seeking to fly under the waiver. The affected public consists of aircraft operators of the general aviation community.

Key Information

Previous ICR	202210-3048-001

Federal Register Notices

Authorizing Statutes

Abstract

The Export-Import Bank of the United States (EXIM Bank) is requesting a regular authorization request for form EIB 03-02, Application for Medium Term Insurance or Guarantee, as required by the Paperwork Reduction Act of 1995, in order to enhance the identification and classification of small businesses, as well as minority-, woman-, and veteran-owned businesses. The purpose of this collection is to gather information necessary to make a determination of eligibility of a transaction for Ex-Im Bank assistance under its medium-term guarantee and insurance program. EXIM is requesting the collection of information due to added Section 402 of the EXIM Charter and to support the Make More in America Initiative.

Key Information

Previous ICR	202501-3235-027

Federal Register Notices

Authorizing Statutes

Abstract

Rule 17h-1T requires a covered broker-dealer to maintain and preserve records regarding the financial and securities activities, and other information concerning the holding company, affiliates, and subsidiaries of the broker-dealer that are reasonably likely to have a material impact on the financial or operational condition of the broker-dealer. Rule 17h-2T requires a covered broker-dealer to file with the Commission quarterly reports and a cumulative year-end report concerning the information required to be maintained and preserved under Rule 17h-1T.

Key Information

Previous ICR	202201-1105-001

Federal Register Notices

Abstract

These forms seek information regarding a prospective coal leasee's existing coal reserves. The Department uses this information to determine whether the lease transfer is consistent with the antitrust laws.

Key Information

Previous ICR	202409-3048-005

Federal Register Notices

Authorizing Statutes

Abstract

The Export Import Bank of the United States (EXIM Bank) pursuant to the Export Import Bank Act of 1945, as amended (12 USC 635, et seq), facilitates the finance of export of U.S. goods and services. By neutralizing the effect of export credit insurance and guarantees offered by foreign governments and by absorbing credit risks that the private sector will not accept, EXIM Bank enables U.S. exporters to complete fairly in foreign markets on the basis of price and product. This collection of information is necessary, pursuant to 12 USC Sec. 635 (a) (1), to determine eligibility of the applicant for EXIM Bank assistance. This form is used by a financial institution (or broker acting on its behalf) in order to obtain approval for non-honoring coverage of short-term letters of credit. The information received provides Ex-Im Bank staff with the information necessary to make a determination of the eligibility of the applicant and transaction for EXIM Bank assistance under its programs.

Key Information

Previous ICR	202308-1520-001

Federal Register Notices

Authorizing Statutes

Abstract

The Bureau of Engraving and Printing Feature of Interest Survey for Banknote Equipment Manufacturers (BEMs) is voluntarily completed by BEM companies to inform BEP's efforts to develop features to be included in future Federal Reserve Note (FRN) redesigns. The survey gives BEM companies the opportunity to comment whether proposed features and/or FRN redesigns (a.k.a. Features of Interest) can be detected, validated, transported, and stored by their products. Banknote Equipment Manufacturers (BEMs) are companies that produce any type of equipment that handles banknotes for commercial purposes involving accept/reject decisions for FRNs.

Key Information

Previous ICR	202206-1117-003

Federal Register Notices

Authorizing Statutes

Abstract

This information collection permits the DEA to monitor the volume and availability of domestically manufactured listed chemicals. These listed chemicals may be subject to diversion for the illicit production of controlled substances. This information collection is authorized by 21 U.S.C. 830(b)(2).

Key Information

Previous ICR	202210-3235-034

Federal Register Notices

Authorizing Statutes

Abstract

Form F-7 (17 CFR 239.37) is a registration form under the Securities Act of 1933 (the “Securities Act”) pertaining to Canadian issuers under the Multijurisdictional Disclosure System. Form F-7 is used for the registration of securities offered for cash upon the exercise of rights to purchase or subscribe for such securities granted to existing security holders of the registrant. Form F-7 is available to any registrant that is incorporated or organized under the laws of Canada or any Canadian province or territory, is a foreign private issuer, has had a class of securities listed on a designated Canadian exchange for the 12 calendar months immediately preceding the filing of this Form, has been subject to the continuous disclosure requirements of any securities commission or equivalent regulatory authority in Canada for a period of at least 36 calendar months immediately preceding the filing of this Form, and is currently in compliance with the obligations arising from such listing and reporting. This Form is designed to facilitate cross-border transactions by eligible Canadian issuers. The disclosure items of Form F-7 reflect the Commission’s experience and best judgment as to information regarding an issuer and the offering that should be required to be disclosed to prospective investors. The information collected is intended to ensure the adequacy of information available to investors in connection with securities offerings. The information on Form F-7 is used by security holders, investors, broker-dealers, investment banking firms, professional securities analysts, and others in evaluating securities and when making investment decisions with respect to such securities. Also, all investors benefit indirectly from submissions on Form F-7, as direct users effect transactions in securities on the basis of current information about the issuer’s business and operations included in such filings, thereby causing the market prices of the securities to reflect such information.

Key Information

Previous ICR	202208-1545-007

Federal Register Notices

Authorizing Statutes

Abstract

This application is used by employers who want to establish an individual retirement account trust to be used by their employees. The application is also used by banks and insurance companies that want to establish approved prototype individual retirement accounts or annuities. The data collected is used to determine if the individual retirement account trust or annuity contract meets the requirements of Code section 408(a), 408(b), or 408(c) so that the IRS may issue an approval letter.

Key Information

Previous ICR	202206-1545-007

Federal Register Notices

Authorizing Statutes

Abstract

In 2007, the Department of Labor (DOL) published a final rule requiring plans subject to the annual reporting requirements of Title I of Employee Retirement Income Security Act (ERISA) to electronically file the Form 5500, Annual Return/Report of Employee Benefit. In order to accommodate the DOL's mandate for electronic filing of the Form 5500 series, Schedule (SSA) has been eliminated and replaced with Form 8955-SSA. The information provided by plan sponsors on Form 8955-SSA will be transmitted to the Social Security Administration (SSA) who will provide it to separated participants when those participants file for social security benefits.

Key Information

Previous ICR	200005-3235-005

Federal Register Notices

Abstract

The filing of reports to the Commission is necessary in order for the Commission, prospective investors, and shareholders to monitor effectively the activities of registered investment companies.

Key Information

Previous ICR	202208-3235-030

Federal Register Notices

Authorizing Statutes

Abstract

Rule 6c-11 (17 CFR § 270.6c-11) under the Investment Company Act of 1940 permits ETFs that satisfy certain conditions to operate without first obtaining an exemptive order from the Commission. The rule is designed to create a consistent, transparent, and efficient regulatory framework for such ETFs and facilitate greater competition and innovation among ETFs. Rule 6c-11 requires an ETF registered as an open-end management investment company to disclose certain information on its website, to maintain certain records, and to adopt and implement written policies and procedures governing its constructions of baskets, as well as written policies and procedures that set forth detailed parameters for the construction and acceptance of custom baskets that are in the best interests of the ETF and its shareholders. The information collection enables the Commission’s examination staff to assess ETFs’ compliance with the conditions of rule 6c-11.