Change Requests

What is an ICR?

An Information Collection Request (ICR) is a federal agency's request for approval from the Office of Management and Budget (OMB) to collect information from the public. Under the Paperwork Reduction Act (PRA), agencies must justify why the information is needed and how it will be used.

When are they submitted?

Federal agencies are required to submit an ICR whenever they create, renew, modify an information collection. Each ICR includes a description of the collection, supporting materials and documentation (such as forms, surveys, or scripts), and proof that the agency has met the requirements of the PRA.

The ICR is submitted to the The Office of Information and Regulatory Affairs (OIRA) within OMB for review and approval. OIRA grants approval for a maximum of three years, after which the collection must be renewed through a new ICR submission.

Where to find an ICR?

ICRs are publicly available on RegInfo.gov, and additional guidance can be found in the FAQs.

Note: Presidential Action influences are notated for ICRs received between January 20, 2025 and July 19, 2025.

Showing 25 of 629 results

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Reference Number
Title
Agency
Received
Concluded
Action
Status
Request Type
Presidential Action
OMB Control Number
202305-7100-002 Annual Daylight Overdraft Capital Report for U.S. Branches and Agencies of Foreign Banks FRS 2023-05-23 2023-05-23 Approved without change Active
Extension without change of a currently approved collection
Annual Daylight Overdraft Capital Report for U.S. Branches and Agencies of Foreign Banks

Key Information

Previous ICR

202012-7100-001

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

12 USC 347d
12 USC 248(i)
12 USC 248-1
12 USC 464
12 USC 3105(a)

Abstract

The FR 2225 is required for foreign banking organizations (FBOs) that wish to, and are eligible to, establish a non-zero net debit cap for their U.S. branches and agencies under the Federal Reserve Policy on Payment System Risk (PSR policy).

- 7100-0216
202203-1651-002 Record of Vessel Foreign Repair or Equipment DHS/USCBP 2022-04-27 2023-02-03 Approved without change Active
Revision of a currently approved collection
Record of Vessel Foreign Repair or Equipment

Key Information

Previous ICR

202004-1651-007

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

19 USC 1466

Abstract

This collection is required to ensure the collection of revenue (duty) required on all equipment, parts, or materials purchased, and repairs made to U.S. Flag vessels outside the United States. These declarations are required under Sections 4.7 and 4.14, of the CBP Regulations (19 CFR 4.7 and 4.14) and by 19 U.S.C. 66 and 1466.

- 1651-0027
202203-1845-008 Third Party Servicer Data Collection ED/FSA 2022-07-28 2023-02-06 Approved without change Active
Revision of a currently approved collection
Third Party Servicer Data Collection

Key Information

Previous ICR

202009-1845-001

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

20 USC 1094

Abstract

The Department of Education (the Department) is seeking an revision of the OMB approval of a Third Party Servicer Data Form. This form collects information from third party servicers. This form is used to validate the information reported to the Department by higher education institutions about the third party servicers that administer one or more aspects of the administration of the Title IV, HEA programs on an institution’s behalf. This form also collects additional information required for effective oversight of these entities. This is a request for the revision of information collection 1845-0130. The Department is transitioning the current Third-Party Servicer Data Inquiry form to an electronic webform that will be housed within the FSA Partner Connect system. While some existing questions have been revised and additional questions have been added to the webform, there has been no change to the supporting regulatory language.

- 1845-0130
202203-1910-001 DOE Loan Guarantees for Energy Projects DOE/DOEOA 2022-03-30 2023-02-10 Approved without change Active
Extension without change of a currently approved collection
DOE Loan Guarantees for Energy Projects

Key Information

Previous ICR

201811-1910-002

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

42 USC 16511-16514

Abstract

This information collection consists of the solicitations that DOE issues inviting applications for loan guarantees under Title XVII of the Energy Policy Act of 2005, as amended, 16516 (Title XVII), 42 U.S.C. 16511, and under Section 2602(c) of the Energy Policy Act of 1992, as amended (TELGP), 25 U.S.C. 3502(c). DOE uses the information applicants submit to determine their eligibility under these programs and to evaluate the projects they propose for DOE loan guarantees. The collection of this information, which is done in accordance with 10 CFR part 609 (Title XVII) and the applicable TELGP solicitation, is necessary to ensure loan guarantees are issued only to qualified projects and in accordance with the law.

- 1910-5134
202203-2060-001 NESHAP for Coke Oven Pushing, Quenching, and Battery Stacks (40 CFR Part 63, Subpart CCCCC) (Renewal) EPA/OAR 2022-03-01 2023-02-09 Approved without change Active
Extension without change of a currently approved collection
NESHAP for Coke Oven Pushing, Quenching, and Battery Stacks (40 CFR Part 63, Subpart CCCCC) (Renewal)

Key Information

Previous ICR

201903-2060-005

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

44 USC 3501 et seq

Abstract

The National Emission Standards for Hazardous Air Pollutants (NESHAP) for Coke Oven Pushing, Quenching, and Battery Stacks (40 CFR Part 63, Subpart CCCCC) apply to pushing, soaking, quenching, and battery stacks on both existing and new coke oven batteries (coke plants) that are major sources of hazardous air pollutant (HAP) emissions. New facilities include those that commenced construction or reconstruction after the date of proposal. In general, all NESHAP standards require initial notifications, performance tests, and periodic reports by the owners/operators of the affected facilities. They are also required to maintain records of the occurrence and duration of any startup, shutdown, or malfunction in the operation of an affected facility, or any period during which the monitoring system is inoperative. These notifications, reports, and records are essential in determining compliance with 40 CFR Part 63, Subpart CCCCC.

- 2060-0521
202203-2060-003 NESHAP for Source Categories: Generic Maximum Achievable Control Technology Standards (40 CFR part 63, subpart YY) (Renewal) EPA/OAR 2022-03-17 2023-02-16 Approved without change Active
Extension without change of a currently approved collection
NESHAP for Source Categories: Generic Maximum Achievable Control Technology Standards (40 CFR part 63, subpart YY) (Renewal)

Key Information

Previous ICR

201902-2060-021

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

42 USC 7401 et. seq.

Abstract

The New Source Performance Standards (NSPS) for Generic Maximum Achievable Control Technology Standards for Acetal Resin; Acrylic and Modacrylic Fiber; Hydrogen Fluoride and Polycarbonate Production were proposed on October 14, 2998; and promulgated on June 29, 1999; and amended on: November 22, 1999; November 2, 2001; June 7, 2002; July 12, 2002; and October 8, 2014. These regulations apply to new and existing facilities of the following four categories: Polycarbonates (PC) Production, Acrylic and Modacrylic Fibers (AMF) Production, Acetal Resins (AR) Production, and Hydrogen Fluoride (HF) Production. New facilities include those that commenced construction or reconstruction after the date of proposal. In general, all NESHAP standards require initial notifications, performance tests, and periodic reports by the owners/operators of the affected facilities. They are also required to maintain records of the occurrence and duration of any startup, shutdown, or malfunction in the operation of an affected facility, or any period during which the monitoring system is inoperative. This information is being collected to assure compliance with 40 CFR Part 63, Subpart YY.

- 2060-0420
202203-3147-001 Request for a Medical Exception to the COVID-19 Vaccination Requirement NTSB 2022-03-22 2023-02-24 Approved without change Active
Extension without change of a currently approved collection
Request for a Medical Exception to the COVID-19 Vaccination Requirement

Key Information

Previous ICR

202111-3147-001

Federal Register Notices

60-Day FRN
30-Day FRN

Abstract

The NTSB created the following form: Request for a Medical Exception to the COVID-19 Vaccination Requirement. The agency will use this form to determine whether the employee provided sufficient information to justify the request. Because the OMB number assigned to this form was obtained through emergency clearance, the OMB number is only valid for six months and will expire on May 31, 2022. In anticipation of future requests from its employees, the NTSB is specifically seeking an extension of this currently-approved collection.

- 3147-0028
202508-7100-001 Reporting, Recordkeeping, and Disclosure Requirements Associated with Regulation NN FRS 2025-08-20 2025-08-20 Approved without change Active
No material or nonsubstantive change to a currently approved collection
Reporting, Recordkeeping, and Disclosure Requirements Associated with Regulation NN

Key Information

Previous ICR

202208-7100-001

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

12 USC 1467a(g)
12 USC 625
12 USC 601-604a
7 USC 2(c)(2)(E)
12 USC 248
12 USC 3106a
12 USC 3108
12 USC 1844(b)
12 USC 1844(c)
12 USC 1467a(b)

Abstract

The Board’s Regulation NN - Retail Foreign Exchange Transactions (12 CFR Part 240) establishes rules appliable to retail foreign currency transactions engaged in by state member banks, uninsured state-licensed branches of foreign banks, financial holding companies, bank holding companies, savings and loan holding companies, agreement corporations, and Edge corporations (collectively, banking institutions). Regulation NN includes certain reporting, recordkeeping, and disclosure requirements for banking institutions that elect to provide foreign currency exchange services to retail consumers.

- 7100-0353
202209-3064-002 Stress Testing Recordkeeping and Reporting FDIC 2022-11-29 2023-02-10 Approved without change Active
Extension without change of a currently approved collection
Stress Testing Recordkeeping and Reporting

Key Information

Previous ICR

201910-3064-005

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

132 Stat. 1296

Abstract

The Federal Deposit Insurance Corporation (FDIC) has issued a rule that revises the FDIC’s requirements for stress testing by FDIC-supervised institutions, consistent with changes made by Section 401 of the Economic Growth, Regulatory Relief, and Consumer Protection Act (EGRRCPA). Specifically, the rule amends the FDIC’s existing stress testing regulations at 12 CFR Part 325 to change the minimum threshold for applicability from $10 billion to $250 billion, revises the frequency of required stress tests by FDIC-supervised institutions, and reduces the number of required stress testing scenarios from three to two. The rule also makes certain conforming and technical changes that were previously included in an April 2019 notice of proposed rulemaking that was superseded, in part, by the enactment of EGRRCPA. On May 17, 2012, the OCC, along with the Federal Deposit Insurance Corporation (FDIC) and the Board of Governors of the Federal Reserve (FRB), published guidance on the use of stress testing as a means to better understand the range of a banking organization’s potential risk exposures. The guidance provides an overview of how a banking organization should structure its stress testing activities to ensure they fit into the banking organization’s overall risk management program. The purpose of the guidance is to outline broad principles for a satisfactory stress testing framework and describe the manner in which stress testing should be used, that is as an integral component of risk management applicable at various levels of aggregation within a banking organization as well as a tool for capital and liquidity planning. While the guidance is not intended to provide detailed instructions for conducting stress testing for any particular risk or business area, it does include descriptions of several types of stress testing activities and how they may be most appropriately used by banking organizations. The guidance also does not explicitly address the stress testing requirements imposed upon certain companies by section 165(i) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act).

- 3064-0189
202111-2900-007 Intent to File a Claim for Compensation and/or Pension, or Survivors Pension and/or DIC (VA Form 21-0966) VA 2023-01-17 2023-02-21 Approved without change Active
Reinstatement with change of a previously approved collection
Intent to File a Claim for Compensation and/or Pension, or Survivors Pension and/or DIC (VA Form 21-0966)

Key Information

Previous ICR

201801-2900-004

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

38 USC 5102

Abstract

VA Form 21-0966 is used by claimants and/or their authorized representatives to indicate intent to file a claim for disability benefits to establish an effective date for an award granted in association with a complete claim filed within one year of such form. VA uses this form to identify claimants in its internal business operational systems to record the date of receipt of this document for the purposes of establishing a date of claim for a complete claim that is filed within one year. VA also uses the information to furnish the claimant with the appropriate VA form or application for VA benefits.

- 2900-0826
202204-1625-012 Enhanced Maritime Domain Awareness via Electronic Transmission of Vessel Transit Data DHS/USCG 2022-09-01 2023-02-24 Approved without change Active
Extension without change of a currently approved collection
Enhanced Maritime Domain Awareness via Electronic Transmission of Vessel Transit Data

Key Information

Previous ICR

201906-1625-002

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

46 USC 70114
Pub.L. 107 - 295 502
46 USC 70115

Abstract

The Coast Guard collects, stores, and analyzes vessel data transmitted electronically to enhance maritime domain awareness (MDA). Awareness and threat knowledge are critical for securing the maritime domain and the key to preventing adverse events. Data is also used for marine safety and environmental protection purposes. The statutory authority is 46 U.S.C. 70114 and 70115.

- 1625-0112
202204-3064-002 Interagency Guidance on Leveraged Lending FDIC 2022-11-29 2023-02-13 Approved without change Active
Revision of a currently approved collection
Interagency Guidance on Leveraged Lending

Key Information

Previous ICR

201907-3064-004

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

12 USC §1831p

Abstract

This guidance outlines for agency-supervised institutions high-level principles related to safe-and-sound leveraged lending activities, including underwriting considerations, assessing and documenting enterprise value, risk management expectations for credits awaiting distribution, stress-testing expectations, pipeline portfolio management, and risk management expectations for exposures held by the institution. This guidance applies to all financial institutions supervised by the OCC, Board, and FDIC that engage in leveraged lending activities. The number of community banks with substantial involvement in leveraged lending is small; therefore, the agencies generally expect community banks to be largely unaffected by this guidance.

- 3064-0191
202106-0579-008 Approval of Laboratories for Conducting Aquatic Animal Tests for Export Health Certificates USDA/APHIS 2021-07-08 2023-02-28 Approved without change Active
Revision of a currently approved collection
Approval of Laboratories for Conducting Aquatic Animal Tests for Export Health Certificates

Key Information

Previous ICR

201712-0579-010

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

7 USC 8301

Abstract

The purpose of this information collection is to provide approval to laboratories to conduct tests for the export of aquatic animals. The information collection activities permit APHIS to vet the laboratories.

- 0579-0429
202205-0578-002 Partnerships for Climate-Smart Commodities USDA/NRCS 2022-08-22 2023-02-09 Approved without change Active
Revision of a currently approved collection
Partnerships for Climate-Smart Commodities

Key Information

Previous ICR

202202-0578-001

Federal Register Notices

60-Day FRN
30-Day FRN

Abstract

The purpose of the Partnerships for Climate-Smart Commodities is to support the production and marketing of climate-smart commodities through a set of pilot projects that provide voluntary incentives through partners to producers and landowners, including early adopters, to implement climate-smart conservation practices, activities, and systems on working lands; measure and quantify, monitor and verify the carbon and greenhouse gas (GHG) benefits associated with those practices; and develop markets and promote the resulting climate-smart commodities.

- 0578-0031
202311-0584-007 Generic Clearance to Conduct Formative Research or Development of Nutrition Education and Promotion Materials and Related Tools and Grants for FNS Population Groups USDA/FNS 2023-11-30 2023-11-30 Approved without change Active
No material or nonsubstantive change to a currently approved collection
Generic Clearance to Conduct Formative Research or Development of Nutrition Education and Promotion Materials and Related Tools and Grants for FNS Population Groups

Key Information

Previous ICR

202211-0584-002

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

7 USC 2020 (Section 11(f))
42 USC 1754 (Section 5)
Pub.L. 109 - 85 19

Abstract

This information collection is necessary to obtain input into the development of nutrition education resources and interventions for population groups served by the Food and Nutrition Service (FNS). FNS will also use this information collection to obtain data that will be used to determine the scope and direction of various types of grants.

- 0584-0524
202205-0704-002 Collection of Required Data Elements to Verify Eligibility DOD/DODDEP 2022-09-29 2023-02-10 Approved without change Active
Revision of a currently approved collection
Collection of Required Data Elements to Verify Eligibility

Key Information

Previous ICR

201907-0704-005

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

10 USC 113
50 USC 3038

Abstract

This is a request for extension for a collection of information necessitated by the Office of Personnel Management (OPM) cybersecurity incident in which approximately 21.5 million security clearance background investigation records containing personally identifying information (PII) were compromised. The information collected will be used only to verify whether or not an individual was impacted by the OPM cybersecurity incident involving background investigation records and to send a letter confirming status as “impacted” or “not impacted” by this incident.

- 0704-0545
202111-1110-002 National Incident-Based Reporting System (NIBRS) DOJ/FBI 2022-01-10 2023-02-22 Approved without change Active
Revision of a currently approved collection
National Incident-Based Reporting System (NIBRS)

Key Information

Previous ICR

202009-1110-002

Federal Register Notices

60-Day FRN
30-Day FRN

Abstract

Under Title 28, United States Code (U.S.C.), Section (§) 534 and 34 U.S.C. § 41303, this collection requests incident-based data from law enforcement agencies in order for the FBI UCR Program to collect and disseminate NIBRS data.

- 1110-0058
202302-0578-003CF Urban Agriculture and Innovative Production (UAIP). USDA/NRCS 2023-02-23 2023-02-23 Approved Active
RCF Recertification
Urban Agriculture and Innovative Production (UAIP).

Key Information

Previous ICR

202203-0578-002CF
- 4040-0020
202205-1651-002 Canadian Border Boat Landing Permit DHS/USCBP 2022-10-27 2023-02-23 Approved without change Active
Extension without change of a currently approved collection
Canadian Border Boat Landing Permit

Key Information

Previous ICR

201905-1651-002

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

8 USC 235

Abstract

This information is necessary in order for U.S. citizens and permanent residents of the U.S. who desire to enter the U.S. from Canada on a small pleasure craft to telephonically report their arrival without having to appear in person for an inspection by a CBP officer.

- 1651-0108
202205-2127-001 Consolidated Labeling Requirements for 49 CFR Part 541 and Procedures for Selecting Lines to be Covered by the Theft Prevention Standard for 49 CFR Part 542 DOT/NHTSA 2022-08-10 2023-02-16 Approved without change Active
Reinstatement with change of a previously approved collection
Consolidated Labeling Requirements for 49 CFR Part 541 and Procedures for Selecting Lines to be Covered by the Theft Prevention Standard for 49 CFR Part 542

Key Information

Previous ICR

201408-2127-002

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

49 USC 33102
Pub.L. 102 - 519 302
49 USC 33104
Pub.L. 98 - 547 302

Abstract

This information collection supports the Federal Motor Vehicle Theft Prevention Standard’s requirements that certain vehicle lines be marked with identifying symbols or numbers (parts-marking) to reduce the incidence of motor vehicle thefts through tracing and recovery of parts from stolen vehicles. In addition to the parts-marking requirements, vehicle manufacturers must submit certain information to the National Highway Traffic Safety Administration (NHTSA) about their vehicle lines covered by this standard and must maintain that information for the duration of the production of a vehicle line. There are five information collections in this request: (1) the requirement to mark major parts of covered motor vehicles; (2) the requirement to submit to NHTSA target areas showing where the parts will be marked; (3) the requirement that manufacturers maintain the designated target areas for the duration of the production of the vehicle line; (4) the requirement for manufacturers of new LDT lines to submit information to NHTSA to allow the agency to determine whether the LDT line will be required to comply with the parts-marking requirements because it is likely to be a high theft line; and (5) the requirement for manufacturers of new LDT lines to submit information to NHTSA to allow the agency to determine the LDT will be required to comply with the parts-marking requirements because it contains major parts that are interchangeable with the majority of the covered major parts of passenger motor vehicles covered by the standard. This is a reinstatement that increases NHTSA’s burden by 150,550 hours and $24,003,000 in cost. However, during the previous submission the hours were 267,356, which now is a reduction of 116,806 hours from the previous submission. This reduction is due to the decreased number of vehicles requiring stamping (previously 8 million) and the number of target area submissions (previously 30). The costs for printing have reduced $57,917,000 (from $81,920,000) from the last OMB approval. Not only have the number of vehicles reduced by 3.5 million, but the previous approval included labor costs (burden hour costs) in the printing costs. The printing cost per vehicle, $5.33, has remained the same.

- 2127-0539
202207-3064-009 Appraisals for Higher-Priced Mortgage Loans FDIC 2022-10-26 2023-02-09 Approved without change Active
Revision of a currently approved collection
Appraisals for Higher-Priced Mortgage Loans

Key Information

Previous ICR

201907-3064-005

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

15 USC 1639h(b)(4)(A)

Abstract

Section 1471 of the Dodd-Frank Act established a new Truth in Lending (TILA) section 129H, which contains appraisal requirements applicable to higher-risk mortgages and prohibits a creditor from extending credit in the form of a higher-risk mortgage loan to any consumer without meeting those requirements. A Higher-risk mortgage is defined as a residential mortgage loan secured by a principal dwelling with an annual percentage rate (APR) that exceeds the average prime offer rate (APOR) for a comparable transaction as of the date the interest rate is set by certain enumerated percentage point spreads. The rule requires that, within three days of application, a creditor provide a disclosure that informs consumers regarding the purpose of the appraisal, that the creditor will provide the consumer a copy of any appraisal, and that the consumer may choose to have a separate appraisal conducted at the expense of the consumer. If a loan meets the definition of a higher-risk mortgage loan, then the creditor would be required to obtain a written appraisal prepared by a certified or licensed appraiser who conducts a physical visit of the interior of the property that will secure the transaction, and send a copy of the written appraisal to the consumer. To qualify for the safe harbor provided under the rule, a creditor is required to review the written appraisal as specified in the text of the rule and appendix A. If a loan is classified as a higher-risk mortgage loan that will finance the acquisition of the property to be mortgaged, and the property was acquired within the previous 180 days by the seller at a price that was lower than the current sale price, then the creditor is required to obtain an additional appraisal.

- 3064-0188
202205-1625-003 Direct User Fees for Inspection or Examination of U.S. and Foreign Commercial Vessels DHS/USCG 2022-09-28 2023-02-24 Approved without change Active
Extension without change of a currently approved collection
Direct User Fees for Inspection or Examination of U.S. and Foreign Commercial Vessels

Key Information

Previous ICR

201709-1625-002

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

46 USC Section 2110

Abstract

The Coast Guard is required by the Omnibus Budget Reconciliation Act of 1990 to collect user fees from Coast Guard inspected commercial vessels. In order to do so the Coast Guard requires the submission of identifying information from the owners of these vessels. The statutory authority is 46 U.S.C. 2110. This authority is delegated by the Secretary to the Coast Guard via the Department of Homeland Security Delegation No. 0170.1, Revision No. 01.2. (II)(92)(a).

- 1625-0074
202205-1625-006 Boat Owner's Report - Possible Safety Defect DHS/USCG 2022-09-01 2023-02-28 Approved without change Active
Extension without change of a currently approved collection
Boat Owner's Report - Possible Safety Defect

Key Information

Previous ICR

201904-1625-005

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

46 USC Chapter 43
46 USC 4310

Abstract

Boat and associated equipment owners who think boats or engines or fail to comply with Coast Guard safety standards can complete a Boat Owners Report - Possible Safety Defect form or submit same electronically. 46 U.S.C. 4310 is the authority for this collection. This authority is delegated by the Secretary to the Coast Guard via the Department of Homeland Security Delegation No. 0170.1, Revision No. 01.2. (II)(92)(b).

- 1625-0071
202205-1651-001 Application-Permit-Special License Unlading/Lading, Overtime Services DHS/USCBP 2022-10-27 2023-02-01 Approved without change Active
Revision of a currently approved collection
Application-Permit-Special License Unlading/Lading, Overtime Services

Key Information

Previous ICR

201907-1651-005

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

19 USC 1490(b)

Abstract

CBP Form 3171, is used by commercial carriers and importers to request permission to unlade imported merchandise, baggage, or passengers and for overtime services of Customs officers in connection with lading or unlading of merchandise, or the entry or clearance of a vessel, including the boarding of a vessel for preliminary supplies, ship's stores, sea stores, or equipment not to be reladen, which is subject to free or duty-paid entry.

- 1651-0005
202209-3235-008 Rule 17Ad-10: Accurate Creation and Maintenance of Securityholder Files (17 CFR 240.17Ad-10) SEC 2022-11-22 2023-02-09 Approved without change Active
Extension without change of a currently approved collection
Rule 17Ad-10: Accurate Creation and Maintenance of Securityholder Files (17 CFR 240.17Ad-10)

Key Information

Previous ICR

201905-3235-001

Federal Register Notices

60-Day FRN
30-Day FRN

Authorizing Statutes

15 USC 78q-1(d)

Abstract

Rule 17Ad-10, 17 CFR 240.17Ad-10, under the Securities Exchange Act of 1934, requires a registered transfer agent to create and maintain minimum information on securityholders’ ownership of an issue of securities for which it performs transfer agent functions, including the purchase, transfer and redemption of securities. In addition, the rule also requires transfer agents that maintain securityholder records to keep certificate detail that has been deleted from those records for a minimum of six years and to maintain and keep current an accurate record of the number of shares or principle dollar amount of debt securities that the issuer has authorized to be outstanding (a “control book”). These recordkeeping requirements assist in the creation and maintenance of accurate securityholder records, the ability to research errors, and ensure the transfer agent is aware of the number of securities that are properly authorized by the issuer, thereby avoiding overissuance. Transfer agents are required to establish written standards for the acceptance or rejection of guarantees of securities transfers from eligible guarantor institutions. Transfer agents are also required to establish procedures, including written guidelines where appropriate, to ensure that those standards are used in determining whether to accept or reject guarantees from eligible guarantor institutions.

- 3235-0273
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