Change Requests

Key Information

Previous ICR	202205-1557-012

Federal Register Notices

Authorizing Statutes

Abstract

The Office of the Comptroller of the Currency (OCC) has a continuing commitment to assess its efforts to provide support and technical assistance to OCC-supervised national banks and Federal savings associations (community banks). To perform this assessment, it is necessary to obtain from community banks feedback on the effectiveness of the OCC’s current efforts and suggestions for enhancing its supervisory efforts and assistance. The OCC will use the survey to collect non-generalizable information about customer satisfaction.

Key Information

Previous ICR	202207-1557-003

Federal Register Notices

Authorizing Statutes

Abstract

These reports are used by the OCC to monitor overseas exposure of U.S. banks in individual countries. The OCC uses the information to analyze trends in overseas lending by individual U.S. banks and the U.S. banking system as a whole. The data are preliminary indicators of relative levels of risk undertaken by individual banks and serve as a crucial tool in the examination process.

Key Information

Previous ICR	202203-1530-002

Federal Register Notices

Authorizing Statutes

Abstract

The information is requested to obtain a creditor's consent to dispose of savings bonds/notes in settlement of a deceased owner's estate without administration.

Key Information

Previous ICR	202404-3209-001

Federal Register Notices

Authorizing Statutes

Abstract

Documents are used to set up and maintain trusts under the Ethics in Government Act for incoming and incumbent executive branch officials. Qualified trusts help officials avoid conflicts between their personal holdings and their Government duties.

Key Information

Previous ICR	202203-3235-016

Federal Register Notices

Authorizing Statutes

Abstract

Rule 19d-3 (17 CFR 240.19d-3) prescribes the form and content of the applications filed by persons with the Commission for review of final disciplinary sanctions. The Commission uses the information reported in the applications to review denials of membership, participation, bars from association, and prohibitions or limitations of access to services imposed by self-regulatory organizations.

Key Information

Previous ICR	202410-1117-004

Federal Register Notices

Authorizing Statutes

Abstract

The DEA collects information in regards to reporting and recordkeeping for digital certificates. The application for a digital certificate is required to ensure that the person applying for the certificate is either a DEA registrant or someone who has power of attorney from a DEA registrant to sign orders for Schedule I and II substances. The DEA Certification Authority uses the information to verify the person’s identity and eligibility to hold a DEA-issued digital certificate.

Key Information

Previous ICR	202207-7100-005

Federal Register Notices

Authorizing Statutes

Abstract

The market risk rule, which requires banking organizations to hold capital to cover their exposure to market risk, is an important component of the regulatory capital rules that have been adopted by the Board, Federal Deposit Insurance Corporation (FDIC), and Office of the Comptroller of the Currency (OCC) (collectively, the agencies). In order to implement the market risk rule, the agencies, acting under the auspices of the FFIEC, implemented the FFIEC 102, which collects key information from respondents on how they measure and calculate market risk under the regulatory capital rules. The Board’s market risk rule applies to state member banks (SMBs), bank holding companies (BHCs), covered savings and loan holding companies (covered SLHCs), and intermediate holding companies (IHCs) with aggregate reported trading assets and trading liabilities equal to or greater than 10 percent of quarter-end total assets or $1 billion (collectively, Board-regulated respondents). Board-regulated respondents must file the FFIEC 102 quarterly with the Board.

Key Information

Previous ICR	202208-7100-007

Federal Register Notices

Authorizing Statutes

Abstract

U.S. commercial banks, savings associations, Edge or agreement corporations, bank holding companies (BHCs), savings and loan holding companies (SLHCs), and U.S. intermediate holding companies of foreign banking organizations (IHCs) (collectively, U.S. banking organizations) that meet certain criteria set forth in the FFIEC 009 instructions must file the quarterly FFIEC 009 with the Board, Federal Deposit Insurance Corporation (FDIC), and Office of the Comptroller of the Currency (OCC) (collectively, the agencies) to report information on international claims. The agencies use this information to monitor the degree of country risk and transfer risk in U.S. banking organizations’ portfolios and the potential impact of adverse international developments on the banking organizations. The FFIEC 009a is a supplement to the FFIEC 009 that must be filed by FFIEC 009 filers that have exposure exceeding certain thresholds set forth in the FFIEC 009a instructions. The FFIEC 009a collects quarterly information on material foreign country exposures of U.S. banking organizations. The agencies collect the FFIEC 009 and FFIEC 009a under the auspices of the FFIEC. The Board is responsible for collecting and compiling the data reported on the FFIEC 009 and FFIEC 009a on behalf of all three agencies. Each of the agencies submits a separate supporting statement to the OMB for this collection of information for relevant banking organizations under their supervision. For the Board, these banking organizations are state member banks, Edge or agreement corporations, BHCs, SLHCs, and IHCs.

Key Information

Previous ICR	202204-3064-003

Federal Register Notices

Authorizing Statutes

Abstract

The FDIC’s market risk capital rules (12 CFR part 324, subpart F) enhance risk sensitivity, increase transparency through enhanced disclosures and include requirements for the public disclosure of certain qualitative and quantitative information about the market risk of state nonmember banks and state savings associations (covered FDIC-supervised institutions). The market risk rule applies only if a bank holding company or bank has aggregated trading assets and trading liabilities equal to 10 percent or more of quarter-end total assets or $1 billion or more (covered FDIC-supervised institutions). Currently, only one FDIC-regulated entity meets the criteria of the information collection requirements that are located at 12 CFR 324.203 through 324.212. The collection of information is necessary to ensure capital adequacy appropriate for the level of market risk.

Key Information

Previous ICR	202205-1557-013

Federal Register Notices

Authorizing Statutes

Abstract

The information collected through the Interagency Guidance is needed by national banks and Federal savings associations (FSAs) to manage their asset securitization activities in a safe and sound manner. The OCC uses the information to evaluate the quality of a national bank's or FSA's risk management practices and to assist national banks and FSAs lacking proper supervision of their asset securitization activities with the implementation of corrective action to ensure that these activities are conducted in a safe and sound manner.

Key Information

Previous ICR	202206-1513-001

Federal Register Notices

Authorizing Statutes

Abstract

As required by the Federal Alcohol Administration Act (FAA Act) at 27 U.S.C. 205(e) and (f), the Secretary has issued regulations, administered by the Alcohol and Tobacco Tax and Trade Bureau (TTB), regarding the labeling and advertising of wine, distilled spirits, and malt beverages, which are contained in 27 CFR parts 4, 5, and 7, respectively. The FAA Act provides that these regulations should, among other things, prohibit consumer deception and the use of misleading statements on labels and ensure that labels provide the consumer with adequate information as to the identity and quality of the product. Under those regulations, bottlers and importers of alcohol beverages must provide certain mandatory information, conform to regulatory requirements regarding certain voluntary disclosures, and adhere to certain presentation standards for statements made on labels and in advertisements of alcohol beverages. Those regulations ensure that consumers are provided with adequate, legible, and non-deceptive or misleading information as to the identity and quality of such products.

Key Information

Previous ICR	202207-3064-007

Federal Register Notices

Authorizing Statutes

Abstract

The quarterly Country Exposure Report (form FFIEC 009) and the Country Exposure Information Report (form FFIEC 009a) provide information regarding the amounts and composition, by country, of the foreign country exposures of U.S. banking institutions. This reporting and disclosure requirement is authorized by Sections 7 and 10 of the Federal Deposit Insurance Act (12 U.S.C. 1817 and 1820) and Sections 907(a) and (b) of the International Lending Supervision Act of 1983 (12 U.S.C. 3906(a) and (b)), as implemented by Section 347.305 of the FDIC’s regulations (12 CFR 347.305), which requires FDIC-supervised banking institutions to submit quarterly reports to the FDIC and to disclose to the public material country exposures.

Key Information

Previous ICR	202207-1557-005

Federal Register Notices

Authorizing Statutes

Abstract

Section 15B and section 15C of the Securities Exchange Act of 1934 (the “Exchange Act”) require, in part, that all national banks and federal savings associations (“FSAs”) that act as a municipal securities dealer or a government securities broker/dealer, respectively, file the relevant form with the appropriate regulatory agency to inform such agency of their broker/dealer activities. This information collection is required to satisfy the requirements of the Exchange Act. National banks and FSAs planning to engage in broker/dealer activities must file the required forms before beginning these activities.

Key Information

Previous ICR	202207-1557-002

Federal Register Notices

Authorizing Statutes

Abstract

This guidance requires financial institutions to develop programs to respond to incidents of unauthorized access to customer information, including procedures for notifying customers under certain circumstances.

Key Information

Previous ICR	202205-1557-010

Federal Register Notices

Authorizing Statutes

Abstract

Part 24 requires national banks to submit occasional filings for approval to the OCC for public welfare investments. The information is needed to ensure national bank compliance with the law and to ensure national bank safety and soundness. The OCC uses the information to determine whether the investment meets the statutory and regulatory requirements, is consistent with safe and sound business practices, such as by not exposing the bank to unlimited liability, and does not pose significant risk to the federal deposit insurance system.

Key Information

Previous ICR	202207-1557-001

Federal Register Notices

Authorizing Statutes

Abstract

Part 32 contains an application process for obtaining authorization to use the Supplemental Lending Limits Program (Program). This information collection requires national banks and savings associations that want to take advantage of the Program to apply to OCC and receive approval. Part 32 also provides alternative methods for calculating the credit exposure of certain derivative transactions. This information collection requires OCC approval for use of certain calculation models.

Key Information

Previous ICR	202405-1545-024

Federal Register Notices

Authorizing Statutes

Abstract

Sections 6011 & 6012 of the Internal Revenue Code (IRC) require entities to prepare and file estate and trust income tax returns. These forms and related schedules are used by estate and trust to report income and other compensation subject to tax as well as to report and disclosure taxes paid. Treasury Regulations section 1.6011-1 explains that every person subject to any tax, or required to collect any tax, under Subtitle A of the Code, shall make such returns or statements as are required by the regulations. The return or statement shall include therein the information required by the applicable regulations or forms. Section 1.6012-3 explains the general guidelines for estates and trusts required to make returns of income.

Key Information

Previous ICR	202206-3235-013

Federal Register Notices

Authorizing Statutes

Abstract

Rule of Practice 194 (17 CFR 201.194) provides a process for a registered security-based swap dealer or major security-based swap participant to make an application to the Commission for an order permitting an associated person that is a natural person who is subject to a statutory disqualification to effect or be involved in effecting security-based swaps on behalf of the security-based swap dealer or major security-based swap participant.

Key Information

Previous ICR	202601-7100-002

Federal Register Notices

Authorizing Statutes

Abstract

This information collection comprises the following reports: • Debit Card Issuer Survey (FR 3064a) collects data from issuers of debit cards (including general-use prepaid cards) that, together with their affiliates, have assets of $10 billion or more, including information regarding the volume and value of debit card transactions; chargebacks and returns; costs of authorization, clearance, and settlement of debit card transactions; other costs incurred in connection with particular debit card transactions; fraud prevention costs and fraud losses; and interchange fee revenue. • Payment Card Network Survey (FR 3064b) collects data from payment card networks, including the volume and value of debit card transactions; interchange fees; network fees; and payments and incentives paid by networks to acquirers, merchants, and issuers. The data from the FR 3064a and FR 3064b are used to fulfill a statutory requirement that the Board disclose certain information regarding debit card transactions on a biennial basis.3 In addition, the Board uses data from the Payment Card Network Survey (FR 3064b) to publicly report on an annual basis the extent to which networks have established separate interchange fees for exempt and covered issuers.

Key Information

Previous ICR	202207-3038-008

Federal Register Notices

Authorizing Statutes

Abstract

The CFTC requests approval for an extension of OMB approval of the information collections associated with the Process for a Swap Execution Facility or Designated Contract Market to Make a Swap Available to Trade. The Commission’s regulations establish a process for swap execution facilities and designated contract markets to make a swap “available to trade” for purposes of the trade execution requirement. The regulations require swap execution facilities and designated contract markets to consider certain factors when determining whether to make a swap “available to trade,” and under §§ 37.10(a) or 38.12(a) of the Commission’s regulations, a swap execution facility or designated contract market, respectively, would submit its determination to the Commission pursuant to the rule filing procedures of part 40 of the Commission’s regulations. Sections 40.5 and 40.6 of the Commission’s regulations establish the procedures for swap execution facilities and designated contract markets to submit rule filings to the Commission. In connection with this rule filing, a swap execution facility and designated contract market must provide an explanation and analysis of the submission and its compliance with statutory provisions of the Act. This explanation and analysis is necessary for the Commission to approve or certify a swap execution facility’s or designated contract market’s “available to trade” determination before the swap would be subject to the trade execution requirement (i.e., be required to trade only on a swap execution facility or designated contract market). Without this collection of information, certain swaps may inappropriately be subject to the trade execution requirement. In addition, this process allows the Commission to provide market participants with notice as to which swaps are subject to the trade execution requirement.

Key Information

Previous ICR	202208-3133-001CF

Authorizing Statutes

Key Information

Previous ICR	202208-2120-002CF

Authorizing Statutes

Key Information

Previous ICR	202411-2130-002

Federal Register Notices

Authorizing Statutes

Abstract

The collection of information is mandatory and is associated with FRA's rule 49 CFR part 228. Entities required to respond include Class I, Class II, and Class III railroads as well as 40 signal employee contractors. The collection of information includes occasional reporting and recordkeeping requirements. Covered employers are required to keep Hours of Duty records of their employees and must produce them upon request to FRA representatives. The Hours of Service Act specifies the maximum hours and conditions of proper rest for employees engaged in one or more critical categories of work. FRA uses the information collected to both monitor compliance with and to enforce these safety regulations. Reporting and recordkeeping Information is collected on occasion, monthly, and annually. Besides Hours of Duty data, railroads must also provide reports of excess service to FRA and employee training information.

Key Information

Previous ICR	202306-2130-002

Federal Register Notices

Authorizing Statutes

Abstract

This collection of information is mandatory, collected as needed, and is associated with FRA's rule 49 CFR part 225. It involves both reporting and recordkeeping requirements. FRA uses the information obtained through its accident/incident regulations to maintain a current and historical database so that it can monitor the safety and operational practices of the nation's railroads; to identify and promptly ameliorate hazardous conditions associated with rail transportation; and to assure compliance with Federal railroad safety laws. Additionally, the information collected enables FRA to promote and enhance railroad safety.

Key Information

Previous ICR	202205-3235-003

Federal Register Notices

Authorizing Statutes

Abstract

Rule 18a-1, 17 CFR 240.18a-1, provides the net capital standards and requirements for nonbank firms that are not subject to SEC Rule 15c3-1 and that are required to register with the SEC under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 as security-based swap dealers (SBSDs). The rule includes information collections that are designed to ensure that these SBSDs maintain sufficient liquidity at all times to meet all unsubordinated obligations of their customers and counterparties and, should an SBSD fail, that there are sufficient resources for an orderly liquidation. The information collection requirements include reporting, recordkeeping, and third-party disclosure requirements that facilitate the SEC's monitoring of the financial condition of these SBSDs.