Change Requests

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	202206-1902-002

Federal Register Notices

Authorizing Statutes

Abstract

This information collection provides transparency of cash management activities between FERC-regulated entities and their affiliates, and enables the Commission and other users of financial information to be aware of the agreements and review through audit the operations of the money pool. FERC achieves this transparency by requiring FERC-regulated entities to file their cash management documents with the Commission, which consequently makes them available to the public. In addition, the requirement that any subsequent changes to an existing agreement be filed within 10 days of the date of the change is to provide users of financial information with knowledge of changes to the agreements.

Key Information

Previous ICR	202502-3045-001

Federal Register Notices

Authorizing Statutes

Abstract

This form is used by national and local non-profits, small community and faith-based organizations, government agencies, and other prospective service project sponsors in the submission of proposed service projects for consideration by AmeriCorps NCCC. The information collected by the form is used by AmeriCorps NCCC to evaluate the proposed service project for approval and selection.

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	202507-1405-001

Federal Register Notices

Authorizing Statutes

Abstract

The DS-3072 is an application for an emergency loan for a destitute U.S. citizen and/or dependent to return to the United States, an application for a destitute U.S. citizen abroad to receive emergency medical and dietary assistance and an application for a U.S. citizen and/or dependent and a third country or host country national to receive a loan to assist in his or her repatriation to the United States and/or to provide them with the funds needed to address their emergency medical and/or dietary needs.

Key Information

Previous ICR	202204-1117-003

Federal Register Notices

Authorizing Statutes

Abstract

The Controlled Substances Act requires practitioners conducting narcotic treatment to register annually with DEA. 21 U.S.C. 822, 823(g)(1); 21 CFR 1301.11, 1301.13. Registration is a necessary control measure that prevents diversion by ensuring the closed system of distribution of controlled substances can be monitored by DEA and that the businesses and individuals handling controlled substances are qualified to do so and are accountable.

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	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	202204-1117-004

Federal Register Notices

Authorizing Statutes

Abstract

The DEA implements the Controlled Substances Act (CSA) which requires that every person who manufactures or distributes a list I chemical shall annually obtain a registration for that purpose. 21 U.S.C. 822 and 823. Additionally, the Controlled Substances Import and Export Act (CSIEA) requires that persons who import or export list I chemicals must obtain a registration prior to conducting such activities. 21 U.S.C. 957 and 958. DEA Form 510 is utilized by applicants desiring to manufacture, distribute, import, and export list I chemicals. DEA Form 510A is utilized for renewal of the registration on an annual basis. DEA is proposing to revise the regulations for application and renewal by requiring all DEA registrants to apply for registration online using the agency’s secure portal. This will eliminate the need for paper forms and payments, streamline the registration process, and save time and expense for both the agency and registration population.

Key Information

Federal Register Notices

Abstract

The Agency will collect, analyze, and interpret information gathered through this generic clearance to identify services’ accessibility, navigation, and use by customers and make improvements in service delivery based on customer insights gathered through developing an understanding of the user experience interacting with the Government. For the purposes of this request, "customers" are individuals, businesses, and organizations that interact with a Federal Government agency or program, either directly or via a Federal contractor. "Service delivery" or "services" refers to the multitude of diverse interactions between a customer and a Federal agency, such as applying for a benefit or loan, receiving a service such as healthcare or small business counseling, requesting a document such as a passport or social security card, complying with a rule or regulation such as filing taxes or declaring goods, using resources such as a park or historical site, or seeking information such as public health or consumer protection notices. Under this request, two types of activities will be conducted to generate customer insights: Customer Research (E.g., User Persona and Journey Map Development): A critical first component of understanding the customer experience is to develop customer personas and journey maps. This process enables the Agency to more deeply understand the customer segments they serve and to organize the processes customers interact with throughout their engagement with the Federal entity to accomplish a task or meet a need. Customer Feedback Surveys: Surveys to be considered under this generic clearance will include those surveys modeled on the OMB Circular A-11 CX Feedback survey to improve customer service by collecting feedback at a specific point during a customer journey. This could include attending a CMS-sponsored conference, interacting with the Agency about software code questions for the relevant APIs, or experience with using the data the Agency provides.

Key Information

Previous ICR	202207-1240-001

Federal Register Notices

Authorizing Statutes

Abstract

This information collection is necessary to determine whether or not the recovery of any Black Lung, Energy Employees Occupational Illness Compensation Program Act or Federal Employees' Compensation overpayment may be waived, compromised, terminated, or collected in full.

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	202210-2502-002

Federal Register Notices

Authorizing Statutes

Abstract

To apply for project rental assistance for extremely low-income persons with disabilities, prospective state housing agencies or other appropriate agencies with partnerships with State Health and Human Services Agency and Medicaid agencies submit completed Project Rental Assistance applications.

Key Information

Previous ICR	202503-3015-001

Federal Register Notices

Authorizing Statutes

Abstract

The Application for Direct Finance will be the principal document used by the agency to determine the investor’s and the project’s eligibility for financing and will collect information for financial underwriting analysis.

Key Information

Previous ICR	202209-2120-004

Federal Register Notices

Authorizing Statutes

Abstract

The request for clearance reflects requirements necessary under 14 CFR part 121 and part 135 to ensure safety of flight by making certain that all part 121 air carriers, and all part 135 air carriers with aircraft type certificated with a passenger seating configuration of 10 seats or more (excluding any pilot seat) update their required contract maintenance list in their manuals. It is mandatory that affected air carriers report this information monthly for the FAA to review. This information consists of who is performing maintenance on behalf of each affected air carrier, what type of maintenance is being performed, and the location(s) where the maintenance is performed. The information will be recorded in the FAA’s oversight tool, the Safety Assurance System (SAS), and used by the FAA to adequately target its inspection resources for surveillance and make accurate risk assessments. This is a renewal for this collection of information. FAA has used maintenance provider data from the previous collection, in part, to assist in development of new streamlined processes for safety oversight of contract maintenance. The newly designed oversight process is heavily dependent on this data collection, and will result in a more agile and efficient FAA workforce, which in turn will reduce the audit burden on FAA certificated repair stations.

Key Information

Previous ICR	202208-1205-001

Federal Register Notices

Authorizing Statutes

Abstract

Work applications (commonly referred to as "registrations") are used in American Job Centers for individuals seeking assistance in finding employment or employability development services. They are used to collect information such as: applicants identification, qualifications, work experience, and desired pay. They also include services provided to applicants, such as job development, and referral to supportive service. They are used to collect information such as applicants’ identification, qualifications, work experience, and desired pay. They also include services provided to applicants, such as job development and/or referral to supportive services. Job orders are used in One-Stop Career Centers to obtain information on employer job vacancies. Information in the job orders include employer identification, job requirements, pay information as well as identification of persons referred, hired, or refused. The information is collected at the employer's request in order to publicize job vacancies. The information is collected by One-Stop Career Centers and posted on electronic job banks. The exact information to be collected on work applications and job orders (and the way it is maintained) is determined by each state. At a minimum, the information to be collected is that which enables states to comply with regulations under 20 CFR 652 and the Wagner-Peyser Act, as amended.

Key Information

Previous ICR	202303-0910-009

Federal Register Notices

Authorizing Statutes

Abstract

The Federal Food, Drug, and Cosmetic Act (FD&C Act), amended by the Tobacco Control Act of 2009, grants FDA the authority to regulate the manufacture, marketing, and distribution of tobacco products to protect the public health generally and to reduce tobacco use by minors. Section 905 of the FD&C Act requires the annual registration of any establishment in any State engaged in the manufacture, preparation, compounding, or processing of a tobacco product or tobacco products. Section 904 of the FD&C Act requires that each tobacco product manufacturer or importer submit a listing of all ingredients and additives that are added by the manufacturer to each tobacco product by brand and by quantity in each brand and sub brand. Section 904 also requires that a tobacco product manufacturer advise the FDA in writing prior to adding any new tobacco additive or increasing in quantity an existing tobacco additive. It also requires that a tobacco product manufacturer advise the FDA in writing prior to eliminating or decreasing an existing additive, or adding or increasing an additive designated by the FDA as not a human or animal carcinogen, or otherwise harmful to health under intended conditions of use.

Key Information

Previous ICR	202210-1024-001

Federal Register Notices

Authorizing Statutes

Abstract

Bear sighting data provides the park with important data used to determine bear movements, habitat use, and species distribution. This information can be used in backcountry management and planning, field research planning, and educational outreach for visitors. Obtaining immediate information on bear-human conflicts allows managers to respond promptly to mitigate further conflicts. The National Park service will continue using NPS Forms 10-405 and 10-406 to collect information related to observations and interactions of visitors of bears in the Alaskan back country. NPS Form 10-407 will collect information in parks in the lower 48 states.

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	202303-0930-003

Federal Register Notices

Authorizing Statutes

Abstract

The primary users of the data to be collected and reported for the PATH evaluation are staff in SAMHSA/CMHS’ Homeless Programs Branch. The information to be collected will be used for two primary purposes: 1) To meet the mandates of Section 528 of the PHS Act which requires the SAMHSA Administrator to evaluate the expenditures of PATH grantees at least once every three years to ensure they are consistent with legislative requirements and to recommend changes to the program design or operations; and 2) To collect information that helps explain and better understand variations among providers on key program measures that are important for program management and policy development.

Key Information

Previous ICR	202309-0938-015

Federal Register Notices

Authorizing Statutes

Abstract

Clincal Laboratory Certification - The application must be completed by entities performing laboratory's testing specimens for diagnostic or treatment purposes. This information is vital to the certification process.

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	202209-2060-002

Federal Register Notices

Authorizing Statutes

Abstract

The New Source Performance Standards (NSPS) for Other Solid Waste Incineration (OSWI) Units (40 CFR Part 60, Subpart EEEE) were proposed on December 9, 2004 (69 FR 71472), promulgated on December 16, 2005 (70 FR 74870), and revised on November 24, 2006 (71 FR 67802). These regulations apply to very small municipal waste combustion units (VSMWC) and institutional waste incineration (IWI) units. A new VSMWC or IWI unit is subject to this subpart if it meets either of two criteria: 1) it commenced construction after August 31, 2020; or 2) it commenced reconstruction or modification on or after 180 days after date of final rule in the Federal Regsiter. On August 31, 2020, the EPA published a proposed rule in the Federal Register for the OSWI NSPS and EG rules that addressed the requisite CAA section 129(a)(5) periodic review (85 FR 54178), as well as other proposed changes to the standards. The EPA is finalizing its CAA section 129(a)(5) review, including our determination that there are no developments in practices, processes, or control technologies that warrant revisions to the OSWI standards and requirements. The EPA is finalizing certain other revisions, including the addition of a subcategory of new VSMWC or IWI units that have a capacity to combust less than 10 TPD of waste that are constructed on or after August 30, 2020, changes to applicability-related and definitional changes; changes to the startup, shutdown, and malfunction (SSM) provisions; changes to testing, monitoring, recordkeeping, and reporting requirements; and other miscellaneous technical and editorial changes. The EPA is also finalizing electronic reporting requirements for submittal of certain reports and performance test results. This ICR includes the burden associated with the existing rule requirements and the incremental burden associated with the final rule. This information is being collected to assure compliance with 40 CFR Part 60, Subpart EEEE.

Key Information

Previous ICR	202208-3235-022

Federal Register Notices

Authorizing Statutes

Abstract

Form F-8 (17 CFR 239.38) is one of several forms for registration under the Securities Act of 1933 (“Securities Act”) available to Canadian foreign private issuers under the multijurisdictional disclosure system. Form F-8 is used for Securities Act registration of two types of transactions: (1) exchange offers and (2) business combinations requiring the vote of shareholders of the participating companies. Canadian issuers using Form F-8 file Canadian disclosure documents under cover of the form and provide indemnification disclosure and certain legends and exhibits. The simplified nature of Form F-8 disclosure promotes capital formation with less expense and greater efficiency and encourages Canadian issuers to extend exchange offers and business combinations to U.S. securityholders. The purpose of the Form F-8 information collection is to provide investors with information important to investment decisions while also promoting capital formation by reducing the cost and increasing the efficiency of Securities Act registration in connection with certain exchange offers and business combination transactions, which may encourage Canadian issuers to extend exchange offers and business combinations to U.S. securityholders. In addition, this information is used by broker-dealers, investment banking firms, professional securities analysts, and others in evaluating securities and advising on investment decision making.

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.