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.

Federal agencies are required to submit an ICR whenever they create, renew, modify, or discontinue 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.

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 20 of 14012 results

Reference Number
Title
Agency
Received
Status
Request Type
Presidential Action
202509-2700-004 Crew Health and Performance Exploration Analog (CHAPEA) Crew Application NASA 2025-09-19 Received in OIRA
New collection (Request for a new OMB Control Number)
Crew Health and Performance Exploration Analog (CHAPEA) Crew Application

Key Information

Received

2025-09-19

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Abstract

This collection of information supports the Crew Health and Performance Analog (CHAPEA) with the evaluation and selection of individuals to participate in NASA CHAPEA Candidate Selection. The NASA CHAPEA project is located at the Lyndon B. Johnson Space Center (JSC) in Houston, Texas. The CHAPEA project is responsible for selecting analog crew candidates for one of three Mars realistic simulated analog missions. In evaluating an applicant for the CHAPEA project, it is important that the selection committee have the benefit of qualitative and quantitative information. Including employment status, medical history, and information from the respondent specific to previously related activities or job functions. This information will be used by the NASA CHAPEA selection committee, during the candidate selection process (approx. 1 year duration), to gain insight into the candidates' work ethic and professionalism as demonstrated in previous related employment activities.

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202509-0607-002 The Redistricting Data Program DOC/CENSUS 2025-09-19 Received in OIRA
No material or nonsubstantive change to a currently approved collection
The Redistricting Data Program

Key Information

Received

2025-09-19
OMB Control #
0607-0988
Previous ICR

202409-0607-002

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

Pub.L. 94 - 171 as amended (View Law)

13 USC Section 141(c) (View Law)

Abstract

The Redistricting Data Program (RDP) is one of many voluntary geographic partnership programs that collects boundaries and attributes to update the U.S. Census Bureau’s geographic database of addresses, streets, and boundaries. The Census Bureau uses its geographic database, i.e., the Master Address File/Topologically Integrated Geographic and Encoding and Referencing (MAF/TIGER) System, to link demographic data from surveys and the decennial census to locations and areas, such as cities, congressional and legislative districts, and counties. To tabulate statistics by localities, the Census Bureau must have accurate addresses, streets, boundaries, and attributes. The RDP is executed under the provisions of Title 13, Section 141(c) of the United States Code (U.S.C.). Under the provisions of Public Law 94-171, as amended (Title 13, United States Code (U.S.C.), Section 141(c)), “[t]he officers or public bodies having initial responsibility for the legislative apportionment or districting of each State may, not later than 3 years before the decennial census date, submit to the Secretary a plan identifying the geographic areas for which specific tabulations of population are desired.” The Census Bureau is requesting a clearance to continue activities included in the RDP. As the current OMB Control Number 0607-0988 clearance will expire in November 2024, the new clearance will allow the Census Bureau to provide RDP-specific materials and procedures to participants during the fiscal years (FY) 2025, 2026, and 2027. These activities include the solicitation of non-partisan liaisons, the collection of Post-2020 Census Congressional and State Legislative District Plans, and the Block Boundary Suggestion Project. This non-substantive change request seeks approval for updates to respondent guides mostly changes to ensure consistency and clarity between all the guides. Sections were reorganized for consistency and clarity, then renumbered in various sections of the documents. Additional documents have been added to the package that are three Privacy Act Statements that will be added to information systems collecting the data from respondents.

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202507-3235-004 Rule of Practice 194 SEC 2025-09-19 Received in OIRA
Extension without change of a currently approved collection
Rule of Practice 194

Key Information

Received

2025-09-19
OMB Control #
3235-0733
Previous ICR

202206-3235-013

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

15 USC 78o-10(b)(6) (View Law)

15 USC 78o-10(b)(4) (View Law)

Pub.L. 111 - 203 764(a) (View Law)

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.

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202410-2506-001 Annual Progress Report (APR) for Competitive Homeless Assistance Programs HUD/CPD 2025-09-19 Received in OIRA
Reinstatement with change of a previously approved collection
Annual Progress Report (APR) for Competitive Homeless Assistance Programs

Key Information

Received

2025-09-19
OMB Control #
2506-0145
Previous ICR

202003-2506-004

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Abstract

The reporting burden in the most recent PRA package was 234,800 hours. The total burden hours for this reinstatement has been reduced to 50,530 hours. The main reason for this change is the automation of the data submissions.

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202509-0693-001 Generic Clearance for Program Evaluation Data Collections DOC/NIST 2025-09-19 Received in OIRA
Extension without change of a currently approved collection
Generic Clearance for Program Evaluation Data Collections

Key Information

Received

2025-09-19
OMB Control #
0693-0033
Previous ICR

202405-0693-003

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Abstract

NIST proposes to conduct a number of surveys designed to evaluate current programs from a customer's perspective, placing priorities on programs and improvements suggested, and for a variety of different uses, including GPRA under this three-year clearance request.

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202509-3145-001 National Science Foundation (NSF) Breakthrough Innovation Initiative Application NSF 2025-09-19 Received in OIRA
New collection (Request for a new OMB Control Number)
National Science Foundation (NSF) Breakthrough Innovation Initiative Application

Key Information

Received

2025-09-19

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

42 USC 1861, et seq. (View Law)

Abstract

The U.S. National Science Foundation (NSF) Directorate for Technology, Innovation and Partnerships (TIP) is launching an effort to enable researchers, innovators, and entrepreneurs to apply unconventional approaches to create game-changing technologies and translate discoveries into tangible applications and products.

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202505-3235-018 Rule 18a-1, Net Capital Requirements For Security-Based Swap Dealers For Which There Is Not a Prudential Regulator SEC 2025-09-19 Received in OIRA
Extension without change of a currently approved collection
Rule 18a-1, Net Capital Requirements For Security-Based Swap Dealers For Which There Is Not a Prudential Regulator

Key Information

Received

2025-09-19
OMB Control #
3235-0701
Previous ICR

202205-3235-003

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

15 USC 78a et seq. (View Law)

Pub.L. 111 - 203 763 (View Law)

Pub.L. 111 - 203 764 (View Law)

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.

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202509-0938-016 Medicare Part D Reporting Requirements and Supporting Regulations in MMA Title I, Part 423, §423.514(a) (CMS-10185) - IRA HHS/CMS 2025-09-19 Active
No material or nonsubstantive change to a currently approved collection
Medicare Part D Reporting Requirements and Supporting Regulations in MMA Title I, Part 423, §423.514(a) (CMS-10185) - IRA

Key Information

Received

2025-09-19
Concluded

2025-09-20
Action

Approved without change
OMB Control #
0938-0992
Previous ICR

202411-0938-001

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

1 Stat. 423

Pub.L. 117 - 169 11202 (View Law)

Abstract

Section 1860D–12(b)(3)(D) of the Act provides broad authority for the Secretary to add terms to the contracts with Part D sponsors, including terms that require the sponsor to provide the Secretary with information as the Secretary may find necessary and appropriate. Pursuant to our statutory authority, we codified these information collection requirements for Part D sponsors in regulation at 42 CFR §423.514(a). The Center for Medicare (CM) has identified the appropriate data needed to effectively monitor the Medicare Prescription Drug Benefit through these Part D reporting requirements. Changes to the currently approved data collection instrument reflect new executive orders, legislation, as well as recent changes to Agency policy and guidance. One example is the reporting section, Medicare Prescription Payment Plan, which will support the Inflation Reduction Act’s (Section 1860D-2(b)(2)(E) of the Social Security Act, as added by section 11202 of the IRA) provision that all Medicare Part D sponsors offer their Part D enrollees the option to pay their out-of-pocket (OOP) Part D drug costs through monthly payments over the course of the plan year. .

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202509-0910-001 Guidance on Meetings with Industry and Investigators on the Research and Development of Tobacco Products HHS/FDA 2025-09-19 Received in OIRA
Revision of a currently approved collection
Guidance on Meetings with Industry and Investigators on the Research and Development of Tobacco Products

Key Information

Received

2025-09-19
OMB Control #
0910-0731
Previous ICR

202410-0910-008

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

Pub.L. 111 - 111 31 (View Law)

Abstract

This ICR is for a guidance intended to assist tobacco manufacturers, importers, researchers, and investigators, and their representatives who seek meetings with staff of FDA’s Center for Tobacco Products (CTP). This guidance does not pertain to other types of meetings or meeting requests with CTP staff. The Federal Food, Drug, and Cosmetic Act (FD&C Act), as amended by the Family Smoking Prevention and Tobacco Control Act (Tobacco Control Act) offers several pathways to obtain an order from FDA to authorize the marketing of a new tobacco product before it may be introduced or delivered into interstate commerce. To provide assistance with these pathways to market products, FDA will meet with tobacco product manufacturers, importers, researchers, and investigators (or their representatives) where appropriate. This guidance is intended to assist persons who seek guidance relating to their research to inform the regulation of tobacco products or to support the development or marketing of tobacco products. This guidance describes two collections of information: (1) The submission of a meeting request containing certain information and (2) the submission of a meeting information package in advance of the meeting. The purpose of the meeting information package is to provide Agency staff the opportunity to adequately prepare for the meeting, including the review of relevant data concerning the product. In the Agency’s experience, reviewing such information is critical to achieving a productive meeting. For information that was previously submitted in a meeting request, the information package should provide updated information that reflects the most current and accurate information available.

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202509-2577-002 Choice Neighborhoods HUD/PIH 2025-09-19 Received in OIRA
Reinstatement with change of a previously approved collection
Choice Neighborhoods

Key Information

Received

2025-09-19
OMB Control #
2577-0269
Previous ICR

202403-2577-004

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

Pub.L. 111 - 117 24 (View Law)

Abstract

The information is required to allow HUD to conduct competitions to award and obligate Choice Neighborhood grant funds in accordance with the appropriations act and to manage/report on the grants that are awarded.

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202507-3235-005 Form 13F, Report of Institutional Investment Managers SEC 2025-09-19 Received in OIRA
Extension without change of a currently approved collection
Form 13F, Report of Institutional Investment Managers

Key Information

Received

2025-09-19
OMB Control #
3235-0006
Previous ICR

202210-3235-027

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

15 USC 78m (View Law)

Abstract

Form 13F (17 CFR 249.325) is a quarterly report filed publicly by institutional investment managers that exercise investment discretion over $100 million or more in certain U.S. exchange-traded equities. Section 13(f) of the Exchange Act of 1934 empowers the Commission to, among other things, adopt rules that create a reporting and disclosure system to collect specific information. The Commission then adopted rule 13f-1 under the 1934 Act (17 CFR 240.13f-1), which requires certain reporting by institutional investment managers on Form 13F.

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202506-2510-002 Notice of Application for Designation as a Single Family Foreclosure Commissioner HUD/HUDGC 2025-09-19 Received in OIRA
Revision of a currently approved collection
Notice of Application for Designation as a Single Family Foreclosure Commissioner

Key Information

Received

2025-09-19
OMB Control #
2510-0012
Previous ICR

202206-2510-001

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

12 USC 3751 (View Law)

Abstract

Under the Single Family Mortgage Foreclosure Act of 1994, HUD may exercise a nonjudicial power of sale of single-family HUD-held mortgages and may appoint foreclosure commissioners to do this. HUD needs the notice and resulting applications for compliance with the Act's requirements that commissioners be qualified.

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202507-3235-011 Display of Customer Limit Orders SEC 2025-09-19 Received in OIRA
Extension without change of a currently approved collection
Display of Customer Limit Orders

Key Information

Received

2025-09-19
OMB Control #
3235-0462
Previous ICR

202205-3235-047

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

15 USC 78k-1 (View Law)

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.

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202508-0910-003 Tobacco Health Document Submission HHS/FDA 2025-09-19 Received in OIRA
Extension without change of a currently approved collection
Tobacco Health Document Submission

Key Information

Received

2025-09-19
OMB Control #
0910-0654
Previous ICR

202410-0910-011

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

21 USC 904(a)(4) (View Law)

Abstract

In the guidance document, FDA requests tobacco health document submissions from manufacturers and importers of tobacco products based on the statutory requirements and compliance dates. As indicated in the guidance, all manufacturers and importers of tobacco products are required to provide immediate and ongoing submission of health documents developed after June 22, 2009. However, FDA generally does not intend to enforce the requirement at this time with respect to all such health documents, so long as a specified set of documents, those developed between June 23, 2009, and December 31, 2009, are provided at least 90 days prior to the delivery for introduction of tobacco products into interstate commerce. Thereafter, manufacturers should preserve all health documents, including those that relate to products for further manufacturing and those developed after December 31, 2009, for future submission to FDA. Respondents submit information through a facilitative electronic form or in paper form using Form FDA 3743. In both forms, FDA requests information including: submitter identification, submitter point of contact, submission format and contents (as applicable), confirmation statement, document categorization (as applicable), document readability and accessibility, and document metadata. The information collected will inform FDA's regulatory processes and decision making such as, development of good manufacturing practices, review standards for new tobacco products, and regulation of modified risk tobacco products, among others.

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202508-0648-001 West Coast Groundfish Logbooks DOC/NOAA 2025-09-19 Received in OIRA
Revision of a currently approved collection
West Coast Groundfish Logbooks

Key Information

Received

2025-09-19
OMB Control #
0648-0782
Previous ICR

202206-0648-001

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

16 USC 1801, et seq. (View Law)

Abstract

This request is for a revision and extension of a currently approved collection. The revision to this collection is to merge the federally mandated logbook requirement for non-trawl groundfish fisheries that occur in the exclusive economic zone off the coasts of Washington, Oregon, and California (0648-0804) into this control number. Once cleared by OMB, control number 0648-0804 will be discontinued. The success of fisheries management programs depends significantly on the availability of fishery data. Currently, the states of Washington and Oregon administer a trawl logbook on behalf of the Pacific Fishery Management Council (Council) and NOAA’s National Marine Fisheries Service (NMFS). The state of California repealed their requirement, effective April 1, 2019, therefore, NMFS created a federal requirement in order to maintain logbook coverage from trawl vessels in California. The log used is a standard format developed by the Council to collect information necessary to effectively manage the fishery on a coast-wide basis. The trawl logbook collects haul-level effort data including tow time, tow location, depth of catch, net type, target strategy, and estimated pounds of fish retained per tow. Each trawl log represents a single fishing trip. Trawl logbook data is used in stock assessments, to evaluate spatial bycatch issues, and is used for fishery monitoring and enforcement. A federal non-trawl logbook was developed and implemented in 2023. Data collected in the non-trawl logbook contributes to stock assessments, informs managers about location-specific catch and discards on non-observed trips and vessels, supports economic analysis, and provides effort information to quantify groundfish fishery effort to allow more precise estimation of bycatch of with Endangered Species Act (ESA) listed species, such as seabirds and humpback whales. NMFS contracts with the Pacific States Marine Fisheries Commission (PSMFC) to distribute and collect the logbook. These data are used regularly by NMFS, the Pacific Fishery Management Council, the West Coast Groundfish Observer Program, NMFS Office of Law Enforcement, and the Coast Guard for fisheries management and enforcement.

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202509-1210-001 Retirement Savings Lost and Found DOL/EBSA 2025-09-19 Active
No material or nonsubstantive change to a currently approved collection
Retirement Savings Lost and Found

Key Information

Received

2025-09-19
Concluded

2025-09-23
Action

Approved without change
OMB Control #
1210-0172
Previous ICR

202403-1210-001

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

Pub.L. 117 - 328 303 (View Law)

Abstract

Section 523(a) of the Employee Retirement Income Security Act of 1974 (ERISA) requires the Department of Labor (Department), in consultation with the U.S. Treasury Department, to establish an online searchable database called the Retirement Savings Lost and Found (Lost and Found) no later than December 29, 2024. The Department has the sole responsibility for establishing and maintaining the Lost and Found. The Lost and Found online searchable database will enable individuals to locate benefits they are owed by providing them with contact information for their plan administrator, the designated trustee or issuer described in section 401(a)(31)(B) of the Internal Revenue Code of 1986 (Code), or the issuer of an annuity described in section 523(e)(3)(C) of ERISA. Plan administrators have reported much of the information needed for the establishment of the Lost and Found to the Internal Revenue Service (IRS) on Form 8955-SSA (Annual Registration Statement Identifying Separated Participants With Deferred Vested Benefits) and its predecessor Schedule SSA to the Form 5500. However, citing concerns under section 6103 of the Internal Revenue Code (Code), IRS has determined it will not authorize the release of this data to the Department for the purpose of communicating either directly with participants and beneficiaries about retirement plans that may still owe them retirement benefits or indirectly through the Lost & Found online searchable database. Accordingly, the Department is proposing to request plan administrators to voluntarily furnish the information specified below directly to the Department.

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202509-2510-001 Production of Material or provision of Testimony in Response to Demands in Legal Proceedings Among Private Litigants HUD/HUDGC 2025-09-19 Received in OIRA
Reinstatement with change of a previously approved collection
Production of Material or provision of Testimony in Response to Demands in Legal Proceedings Among Private Litigants

Key Information

Received

2025-09-19
OMB Control #
2510-0014
Previous ICR

202108-2510-001

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

5 USC 522 (View Law)

Abstract

The information requested allows the Department to evaluate demands for documents and testimony from the Department and its employees. the colleciton is a reinstatement with change of a currently approved collection.

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202506-2528-003 Moving to Work,Asset Building Cohort Evaluation HUD/PD&R 2025-09-19 Received in OIRA
Revision of a currently approved collection
Moving to Work,Asset Building Cohort Evaluation

Key Information

Received

2025-09-19
OMB Control #
2528-0345
Previous ICR

202401-2528-002

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

12 USC 1701z-1 et seq. (View Law)

Abstract

The Office of Policy Development and Research (PD&R) at the U. S. Department of Housing and Urban Development (HUD) contracted with MEF Associates, with subcontractor Abt Associates, to develop the Research Design and Data Collection and Analysis Plan for an evaluation of the Moving to Work Expansion Asset Building Cohort. As required under the Paperwork Reduction Act, HUD seeks approval from the Office of Management and Budget (OMB) for data collection instruments for the evaluation. Moving to Work (MTW) is a HUD demonstration that encourages selected PHAs to test ways to increase the cost effectiveness of federal housing programs, encourage greater self-sufficiency of households receiving housing assistance, and increase housing choice for low-income families. MTW designation gives PHAs relief from some regulations and laws that apply to Housing Choice Voucher (HCV) and public housing programs. The Consolidated Appropriations Act of 2016 authorized HUD to award MTW authority to 100 additional PHAs by September 2023, and required that new MTW agencies be selected in cohorts with a specific policy focus. The Asset Building Cohort will test two types of asset building programs for HUD households, rent reporting for credit building and an opt-out savings account program. The ABC has 17 PHAs. Of these 17 PHAs, 9 PHAs will implement an opt-out savings program, six PHAs will implement reporting rent payments to credit agencies, and two PHAs have unique asset building programs. The evaluation of the ABC will include these three components: 1) Program Implementation Study 2) Impact Studies: a. Rent Reporting for Credit Building Study i . Quantitative study of impact on credit scores ii. Qualitative study of family experiences with rent reporting b. Opt-Out Savings Account Study i. Household survey To answer the research questions, the evaluation will collect data from multiple sources, including: • Administrative Data o Credit agency data to measure credit scores o HUD administrative data to describe household income and demographics o PHA data to enable random selection of households for the study samples • Program Data o Program documents to describe program implementation and outreach to households o Program data to describe program implementation, such as how many households participated, how much money was deposited by the PHA into the opt-out savings account, and how much the PHA paid to the partner organizations • Primary Data o Program implementation interviews with PHA staff (n=51) o Program implementation interviews with staff of partner organizations (n=12) o Program implementation interviews with HUD-assisted residents (n = 10) o Baseline information form for Rent Reporting study participants (n= 300) o Informed consent form for Rent Reporting study participants (n= 300) o Interviews for Rent Reporting Qualitative study round 1 (n = 40) o Interview for Rent Reporting Qualitative study round 2 (n=40) The data collection activities covered under this ICR are expected to begin in January 2024 and continue through June 2025; phase two of the data collection is expected to begin in June 2025 and continue through January 2027.

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202506-3038-007 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements CFTC 2025-09-19 Received in OIRA
Extension without change of a currently approved collection
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements

Key Information

Received

2025-09-19
OMB Control #
3038-0111
Previous ICR

202207-3038-013

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

7 USC 2(i); 6s (View Law)

Abstract

The CFTC requests approval of its request to extend the information collections associated with the agency's rules governing Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements. These collections of information implement section 4s(e) of the Commodity Exchange Act ("CEA"), which mandates that the Commission adopt rules establishing margin requirements for uncleared swaps of swap dealers ("SDs") and major swap participants ("MSPs") that do not have a Prudential Regulator (collectively, "Covered Swap Entities" or "CSEs"), and section 2(i) of the CEA, which provides the Commission with express authority over swaps activities in cross-border transactions when certain conditions are met. The Commission uses the information collected to determine whether the foreign jurisdiction's margin rules for uncleared swaps are comparable to the Commission's corresponding margin requirements. Covered Swap Entities or CSEs that are eligible for substituted compliance under the Proposed Rule, as well as foreign regulatory agencies that have direct supervisory authority to administer the foreign jurisdiction's margin requirements for uncleared swaps in the requested foreign jurisdiction, may make a request for a comparability determination. The information collections also require CSEs to have policies and procedures ensuring that they are in compliance with all of the requirements of the special provisions for non-netting jurisdictions and non-segregation provisions, respectively, and to maintain books and records properly documenting that all of the requirements of the special provisions for non-netting jurisdictions and non-segregation jurisdictions, respectively, are satisfied. These collections are necessary as a means for the Commission to be able to determine that CSEs relying on the non-netting jurisdictions and non-segregation provisions are entitled to do so and are complying with the special provisions’ requirements.

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202507-3235-006 Rule 18a-2, Capital requirements for major security-based swap participants for which there is not a prudential regulator. SEC 2025-09-19 Received in OIRA
Extension without change of a currently approved collection
Rule 18a-2, Capital requirements for major security-based swap participants for which there is not a prudential regulator.

Key Information

Received

2025-09-19
OMB Control #
3235-0699
Previous ICR

202206-3235-007

Federal Register Notices

60-Day FRN View Notice
30-Day FRN View Notice

Authorizing Statutes

15 USC 78a et seq. (View Law)

Pub.L. 111 - 203 763 (View Law)

Pub.L. 111 - 203 764 (View Law)

Abstract

Rule 18a-2, 17 CFR 240.18a-2, establishes capital requirements for nonbank major security-based swap participants that are also not registered as broker-dealers (“nonbank MSBSPs”).  In particular, a nonbank MSBSP is required at all times to have and maintain positive tangible net worth. Rule 18a-2 establishes capital requirements for nonbank major security-based swap participants that are also not registered as broker-dealers (“nonbank MSBSPs”).  In particular, a nonbank MSBSP is required at all times to have and maintain positive tangible net worth. The collections of information in Rule 18a-2 will facilitate the monitoring of the financial condition of nonbank MSBSPs by the Commission and its staff. Under Rule 18a-2, nonbank MSBSPs also need to comply with Exchange Act Rule 15c3-4 (17 CFR 240.15c3-4) (OMB Control No. 3235-0497), which requires OTC derivatives dealers and other firms subject to its provisions to establish, document, and maintain a system of internal risk management controls to assist the firm in managing the risk associated with its business activities, including market, credit, leverage, liquidity, legal, and operational risks.

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