Change Requests

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Rule 203-2 and Form ADV-W under the Investment Advisers Act of 1940

Key Information

Abstract

Rule 203-2 (17 CFR § 275.203-2) under the Investment Advisers Act of 1940 establishes procedures for an investment adviser to withdraw its registration, or a pending registration application, with the Securities and Exchange Commission (the “Commission”) and requires every person withdrawing from investment adviser registration with the Commission to file Form ADV-W electronically on the Investment Adviser Registration Depository. A copy of Form ADV-W must be preserved in the investment adviser’s records. The potential respondents to this information collection are investment advisers registered with the Commission that withdraw their registrations or pending registrations with the Commission. The collection of information constitutes a reporting requirement and is necessary to ensure that the Commission and the public are notified when each of these investment advisers withdraws its registration.

Federal Register Notices

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

Authorizing Statutes

15 USC 80b	View Law

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Rule 103, 17 CFR 242.103 (Nasdaq Passive Market Making)

Key Information

Abstract

Rule 103 permits Nasdaq passive market making by a distribution participant during a distribution of such securities, an activity otherwise prohibited pursuant to Rule 101, 17 CFR 242.101. The Commission does not use the information required under this rule. Investors, and the market in general, use the disclosure of passive market making by a distribution participant in evaluating the price of the security in distribution.

Federal Register Notices

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

Authorizing Statutes

15 USC 78b, 78c, 78g(c)(2),78i(a),78j	View Law

15 USC 77g, 77q(a), 77s(a)	View Law

15 USC 78k-1(c),78l,78m,78n,78o(b)	View Law

15 USC 78o(c),78o(h),78q(a),78q(b)	View Law

15 USC 78q(h),78w(a),78dd-1,78mm	View Law

15 USC 80a-23, 80a-29 and 80a-37	View Law

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Durable Medical Equipment, Prosthetics, Orthotics, and Supplies (DMEPOS) Competitive Bidding Program (CMS-10169)

Key Information

Abstract

CMS is seeking approval to reinstate the Information Collection Request (ICR) and to update our burden estimates to Forms A and B in preparation for the next round. CMS will publish a slightly modified version of Form A so that bidders will be better able to identify and understand the new requirement related to bid surety bonds (Section 1847(a)(1)(G) of the Act, added by section 522(a) of the Medicare Access and CHIP Reauthorization Act of 2015 (Pub. L. 114-10) (MACRA). We have made changes to Form B to remove the expansion plan section and to include the bidding methodology proposed in CMS-1691-P (83 FR 34304).

Federal Register Notices

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

Authorizing Statutes

Pub.L. 111 - 148 6410	View Law

Pub.L. 114 - 10 522	View Law

Pub.L. 110 - 275 154	View Law

Pub.L. 108 - 173 302(b)(1)	View Law

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30 CFR 582, Operations in the OCS for Minerals Other than Oil, Gas, and Sulfur

Key Information

Abstract

The OCSLA (43 U.S.C. 1334 and 43 U.S.C. 1337(k)(1)) authorizes the Secretary of the Interior to issue regulations to grant to qualified persons who offer the highest cash bonus on a basis of competitive bidding, leases of any mineral other than oil, gas, and sulfur in any area of the OCS not then under lease for such mineral upon such royalty, rental, and other terms and conditions as the Secretary may prescribe at the time of offering the area for lease. Regulations at 30 CFR part 582 carry out these statutory requirements by regulating mining operations within the OCS for minerals other than oil, gas, and sulfur and establishing a comprehensive regulatory program for such minerals. There has been no competitive leasing activity in the OCS for minerals other than oil, gas, and sulfur for many years. Accordingly, BOEM has not generally collected information under this Part of its regulations. However, since these are regulatory requirements, the potential exists for information to be collected, and BOEM is beginning to receive interest from industry. Therefore, we are renewing OMB approval for this information collection. BOEM will use the information required by 30 CFR part 582 to determine if lessees are complying with the regulations for mining minerals other than oil, gas, sulfur. BOEM will also use the information to ensure that such operations are conducted in a manner that will result in orderly resource recovery and development, and the protection of the human, marine, and coastal environments and for technical and environmental evaluations which provide a basis for BOEM to make informed decisions to approve, disapprove, or require modification of the proposed activities.

Federal Register Notices

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

Authorizing Statutes

43 USC 1334; 1337(k)(1)	View Law

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Liability for Termination of Single-Employer Plans

Key Information

Abstract

A contributing sponsor of a terminating single-employer plan or member of its controlled group ("employer") that believes ERISA 4062(b) liability exceeds 30% of the employer's net worth is required to so notify PBGC and submit net worth information; the amount of employer liability subject to the statutory lien and the payment terms are affected by whether and to what extent such liability exceeds 30% of the employer's net worth.

Federal Register Notices

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

Authorizing Statutes

29 USC 1368	View Law

29 USC 1362	View Law

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Generic Clearance National Security and Emergency Preparedness Communications (NSEPC)

Key Information

Abstract

This information is an imperative requirement to address the multifaceted national emergency and critical infrastructure plans and interagency coordination to implement, support, protect, strengthen, and enhance emergency communications capabilities. Enabling and improving efforts to garner customer and stakeholder feedback in an efficient, and timely manner is vital to the security of the nation to establish uniform policies, standards, and guidelines for integrating emergency communications across federal infrastructure protection and risk management within all 16 infrastructure sectors. It will allow for insight into customer and stakeholder perceptions, experiences, and expectations, and to focus attention on areas where emergency communications, public safety training, or changes or in operations might improve ECD initiatives. The collections from the NSEPC will allow for ongoing, collaborative, and actionable communications between the Agency and its customers and stakeholders while simultaneously contributing directly to the improvement of program management. Improving agency programs requires the consistency of ongoing assessment of service delivery, meaning a systematic review of the operation of a program compared to a set of explicit or implicit standards, as a way of contributing to the continuous improvement of the program.

Federal Register Notices

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

Authorizing Statutes

Pub.L. 109 - 295 671	View Law

6 USC 571	View Law

6 USC 572	View Law

6 USC 573	View Law

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Federal Employees' Compensation Act Medical Reports and Compensation Claims

Key Information

Abstract

These forms are utilized for the submission of claims pertaining to wage loss resulting from Federal employment-related injuries. Additionally, they are required for the collection of essential medical documentation to determine whether a claimant is eligible for benefits under the Federal Employees Compensation Act (FECA).

Federal Register Notices

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

Authorizing Statutes

5 USC 8101	View Law

5 USC 8102	View Law

5 USC 8149	View Law

5 USC 8103	View Law

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Expanded Food and Nutrition Education Program (EFNEP)

Key Information

Abstract

The general purpose of the Nutrition Education Evaluation and Reporting System (NEERS) is to provide the data needed to assure the quality of the educational program and to provide diagnostic assessments of participant needs and summarize data for state and national assessment of the program's impact.

Federal Register Notices

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

Authorizing Statutes

Pub.L. 612 - 331 7116	View Law

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Rule 15c2-11, 17 CRF 240.15c2-11 (Publication or submission of quotations without current information)

Key Information

Abstract

Rule 15c2-11 ("Rule") under the Securities Exchange Act of 1934, as amended, governs the publication of quotations for securities in a quotation medium other than a national securities exchange—i.e., over the counter (“OTC”) securities. The Rule is designed to prevent broker-dealers from publishing or submitting quotations for OTC securities that may facilitate a fraudulent or manipulative scheme. Subject to certain exceptions, the Rule prohibits broker-dealers from publishing any quotation for a security or, directly or indirectly, submitting any quotation for publication, in a quotation medium unless they have reviewed specified information concerning the issuer. The Rule enhances disclosure and investor protection in the OTC market by ensuring that broker-dealers do not publish quotations for an issuer’s security when current issuer information is not publicly available, subject to certain exceptions. The Rule does not require that broker-dealers submit to the Commission the information collected pursuant to the Rule. Nor does Rule 15c2-11 require that information collected pursuant to the Rule be directly collected or stored by the Commission.

Federal Register Notices

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

Authorizing Statutes

15 USC 78o(c)(2) and 78w	View Law

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U.S. West Coast Port Infrastructure Survey

Key Information

Abstract

This Information Collection Request (ICR) seeks authorization to conduct a survey assessing the utilization of U.S. West Coast port infrastructure. The study specifically evaluates the potential impacts of offshore decommissioning activities on port-based industries, with a primary focus on the commercial and recreational fishing sectors. Resulting data will support the development of comprehensive port profiles and technical reports to inform the Bureau of Ocean Energy Management (BOEM) in its strategic planning and decision-making processes.

Federal Register Notices

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

Authorizing Statutes

43 USC 1346	View Law

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[NCHHSTP] National HIV Prevention Program Monitoring and Evaluation (NHM&E)

Key Information

Abstract

NHM&E data are a set of standardized variables that CDC uses to monitor and evaluate HIV prevention programs funded by the Division of HIV/AIDS Prevention (DHAP) at CDC. These data are used to report key program performance indicators to CDC to show whether the programs implemented or supported are efficient and effective in achieving their stated goals. NHM&E data also assist Health Departments and Community-Based Organizations (CBOs) in monitoring and evaluating their activities to help them develop, deliver, and refine successful HIV prevention interventions. A revision is requested to extend data collection for 3 years and to add/remove variables from existing data collection instruments. The revision of the currently approved ICR is intended to accommodate the new reporting requirements for CDC’s newest prevention program cooperative agreement (CDC-RFA-PS24-0047). The revisions include the following: (1) additions and updates to Race and Ethnicity data collection, in alignment with OMB’s SPD–15 directives; (2) deletion and modification of variables in alignment with Executive Orders; (3) deletion and modification of PrEP-related variables in alignment with screening and eligibility recommendation changes; (4) inclusion of antiretroviral therapy, PEP, Mpox, tuberculosis, Hepatitis B, and modification of response options for Hepatitis C, Chlamydia, Gonorrhea, and Syphilis testing, treatment, and referral variables; (5) modification of variables and response options for Essential Support Services screening, determination, referral, and provision variables; and (6) addition of new jurisdiction-level aggregate and qualitative variables.

Federal Register Notices

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

Authorizing Statutes

42 USC 241	View Law

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TSA Pre-Check Application Program

Key Information

Abstract

As part of its intelligence-driven, risk-based approach to security, TSA is implementing an application/enrollment program to participate in TSA Pre Check. TSA will collect personal information from individuals to conduct name- and fingerprint-based security threat assessments on individuals who apply to participate in the program. TSA also will conduct an optional survey to gather information on the applicants' overall customer satisfaction with the service received at the enrollment center.

Federal Register Notices

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

Authorizing Statutes

Pub.L. 107 - 71 109(a)(3)	View Law

Pub.L. 109 - 90 540	View Law

Pub.L. 115 - 254 1937	View Law

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[NIOSH] National Firefighter Registry for Cancer

Key Information

Abstract

The main goal of the National Firefighter Registry (NFR), according to the Firefighter Cancer Registry Act of 2018, is, “to develop and maintain a voluntary registry of firefighters to collect relevant health and occupational information of such firefighters for purposes of determining cancer incidence.” The purpose of this information collection is for general purpose statistics to be gathered from a registry of U.S. firefighters with the intent to monitor cancer incidence and risk factors among the U.S. fire service. This reinstatement request of information collection #0920-1348 is to continue collecting voluntary data from firefighters through the National Firefighter Registry (NFR) for Cancer in accordance with the Firefighter Cancer Registry Act of 2018

Federal Register Notices

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

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Application for Immigrant Visa and Alien Registration

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Abstract

Department of State consular officers use the DS-260, in conjunction with a personal interview, to elicit information necessary to fulfill the legal requirements for the issuance of an immigrant visa. The information required on the form is necessary for consular officer to determine the eligibility and classification of an individual seeking an immigrant visa to the United States.

Federal Register Notices

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

Authorizing Statutes

8 USC 1201	View Law

8 USC 1202	View Law

8 USC 1182	View Law

8 USC 1158	View Law

8 USC 1101	View Law

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Incident Reporting for Automated Driving Systems (ADS) and Level 2 Advanced Driver Assistance Systems (ADAS)

Key Information

Abstract

This information collection request (ICR) is for an extension of a currently approved information collection that requires manufacturers of motor vehicles and equipment and operators of motor vehicles to submit incident reports for certain crashes involving Automated Driving Systems (ADS) and Level 2 Advanced Driver Assistance Systems (ADAS). NHTSA’s Standing General Order 2021-01 (General Order) requires vehicle and equipment manufacturers and operators of vehicles equipped with ADS or Level 2 ADAS to report crashes that meet specified criteria to the National Highway Traffic Safety Administration (NHTSA). This ICR covers the reporting requirements in the General Order with modifications that will be made in response to comments. ADS and ADAS are new technologies that fundamentally alter the task of driving a motor vehicle by automating certain driver inputs (e.g., steering, acceleration, and braking) and decision making (e.g., path following and obstacle avoidance) that would otherwise be left to human control. Given the rapid evolution of these technologies and testing of new technologies and features on publicly accessible roads, it is critical for NHTSA to exercise its robust oversight over potential safety defects in vehicles operating with ADS and Level 2 ADAS. Crashes involving these vehicles have already resulted in multiple fatalities and serious injuries, and NHTSA anticipates that the number of these crashes will continue to grow in the near future given the increased number of these vehicles on the road and the increased number of vehicle and equipment manufacturers in the market. The General Order provides the agency with critical and timely safety data, which assists the agency in identifying potential safety issues resulting from the operation of advanced technologies on public roads. Access to this crash data may show whether there are common patterns in vehicle crashes or systematic problems with specific vehicles or systems, any of which may reflect a potential safety defect. NHTSA requested and received emergency review and approval of this information collection. NHTSA submitted the request on June 29, 2021. On June 30, 2021, OMB granted NHTSA a six-month approval for this information collection and assigned this information collection the OMB control number 2127-0754. NHTSA is seeking a three-year extension of this information collection. When NHTSA submitted its request for emergency review, the agency estimated that the annual burden would be 12,539 hours and $0. NHTSA now estimates the annual burden to be 31,319 hours and $0. This is an increase of 19,046 hours and $0. The changes in burden estimate are a result of information received from reporting entities regarding time spent reporting information under the 6-month emergency clearance, actual reporting volume for five-months, and the change to the General Order to create a new 5-day reporting category (in place of 1-day and 10-day reports in certain circumstances). Adjustments were also made to remove burden time for training and creating accounts (which took place in the first 6 months for current reporting entities). NHTSA also created a new category of burden to account for additional screening time spent by reporting entities to ensure that they are meeting their reporting requirements. The change in burden hours represents a program change resulting in a decrease in burden hours by 8,320 hours and adjustments resulting in an increase of 27,100 hours.

Federal Register Notices

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

Authorizing Statutes

49 USC 30166	View Law

49 USC 30118-30120	View Law

49 USC 301	View Law

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ChemLock Program

Key Information

Abstract

CISA serves as Sector Risk Management Agency (SRMA) for the Chemical Sector. CISA has established ChemLock, which is voluntary program for facilities that possess dangerous chemicals. The information will support CISA’s Office of Chemical Security in providing resources tailored to the specific facilities requesting services under the ChemLock program.

Federal Register Notices

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

Authorizing Statutes

6 USC 652	View Law

Pub.L. 115 - 278 All	View Law

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DOE Loan Guarantees for Energy Projects

Key Information

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.

Federal Register Notices

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

Authorizing Statutes

42 USC 16511-16514	View Law

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Request for Prepayment of Section 202 or 202/8 Project

Key Information

Abstract

This collection is a request for approval of prepayment of a direct Loan and additional necessary documentation from an owner of a multifamily housing project financed under Section 202 of the Natinal Housing Act. Review of the information will determine if the conditions of the original mortgage will be met and if prepayment may be granted.

Federal Register Notices

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

Authorizing Statutes

Pub.L. 106 - 569 1	View Law

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2027 Census of Agriculture

Key Information

Abstract

The National Agricultural Statistics Service (NASS) requests a reinstatement of a discontinued data collection, the Census of Agriculture. The Census of Agriculture, conducted every 5 years, is the only source of consistent, comparable agricultural data at the county, state, and national levels. It collects important information on the number and size of farms, land use, production expenses, value of production, land values, and crop and livestock production, as well as key demographic data on farm operators not available from any other source. These data are critical to the agricultural community, including local, state and federal governments, farmer organization, marketing associations, cooperatives, agricultural experiment stations, land-grant. NASS is seeking a three-year reinstatement for its collection and publication of Census of Agriculture data.

Federal Register Notices

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

Authorizing Statutes

7 USC 2204(a)	View Law

18 USC 1905	View Law

7 USC 3601.1	View Law

Pub.L. 115 - 435 301	View Law

7 USC 2276	View Law

Pub.L. 104 - 13 3501	View Law

7 USC 2204(g)	View Law

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Applications for Inclusion on the Lists of Arbitrators Under the Data Privacy Framework Program

Key Information

Abstract

The United States, the European Union (EU), the United Kingdom (UK), and Switzerland share a commitment to enhancing privacy protection, the rule of law, and a recognition of the importance of transatlantic data flows to our respective citizens, economies, and societies, but take different approaches to doing so. Given those differences, the DOC developed the EU-U.S. DPF, the UK Extension to the EU-U.S. DPF, and the Swiss-U.S. DPF in consultation with the European Commission, the UK Government, the Swiss Federal Administration, industry, and other stakeholders. These arrangements were respectively developed to provide U.S. organizations reliable mechanisms for personal data transfers to the United States from the European Union, the United Kingdom (and, as applicable, Gibraltar), and Switzerland while ensuring data protection that is consistent with EU, UK, and Swiss law. The DOC issued the EU-U.S. DPF Principles and the Swiss-U.S. DPF Principles, including the respective sets of Supplemental Principles (collectively the Principles) and Annex I of the Principles, as well as the UK Extension to the EU-U.S. DPF under its statutory authority to foster, promote, and develop international commerce (15 U.S.C. § 1512). ITA administers and supervises the Data Privacy Framework program, including by maintaining and making publicly available the Data Privacy Framework List, an authoritative list of U.S. organizations that have self-certified to the DOC and declared their commitment to adhere to the Principles pursuant to the EU-U.S. DPF and, as applicable, the UK Extension to the EU-U.S. DPF, and/or the Swiss-U.S. DPF. Such organizations must respond promptly to inquiries and requests from ITA for information relating to their adherence to the Principles. On the basis of the Principles, Executive Order 14086, 28 CFR part 201, and accompanying letters and materials, including ITA’s commitments regarding the administration and supervision of the Data Privacy Framework program, the European Commission, the UK Government, and the Swiss Federal Administration have respectively recognized the adequacy of the protection provided by the EU-U.S. DPF, the UK Extension to the EU-U.S. DPF1, and the Swiss-U.S. DPF thereby enabling personal data transfers from each respective jurisdiction to U.S. organizations participating in the relevant part of the Data Privacy Framework program. The DOC previously requested and obtained approval of analogous information collections that allowed the DOC, as represented by ITA, to collect information from applicants for inclusion on the EU-U.S. Privacy Shield List of Arbitrators (OMB Control No. 0625-0277) and from applicants for inclusion on the Swiss-U.S. Privacy Shield List of Arbitrators (OMB Control No. 0625-0278). Pursuant to the EU-U.S. DPF, the EU-U.S. Privacy Shield Framework Principles were amended as the “EU-U.S. Data Privacy Framework Principles”; and pursuant to the Swiss-U.S. DPF, the Swiss-U.S. Privacy Shield Framework Principles will be amended as the “Swiss-U.S. Data Privacy Framework Principles”. Organizations that self-certified their commitment to comply with the EU-U.S. Privacy Shield Framework Principles and/or the Swiss-U.S. Privacy Shield Framework Principles that wish to enjoy the benefits of participating in the EU-U.S. DPF and/or the Swiss-U.S. DPF (as applicable) must comply with the amended Principles. More information on the binding arbitration option under the Data Privacy Framework program will is available on the DOC’s Data Privacy Framework program website (https://www.dataprivacyframework.gov/).

Federal Register Notices

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

Authorizing Statutes

15 USC 1512	View Law

Presidential Action:

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Request Type:

Office for Bombing Prevention Technical Analysis

Key Information

Abstract

The Cybersecurity Infrastructure Security Agency (CISA), Infrastructure Security Division (ISD), Office of Bombing Prevention (OBP) has a leading role in implementation of the national counter-IED policy, articulated through Presidential Policy Directive 17 (PPD-17), Countering IEDs, serving as the Deputy Administrator of the federal interagency Joint Program Office for Countering Improvised Explosive Devices (JPO C-IED) and working in close collaboration with the White House National Security Council. The JPO C-IED coordinates and tracks Federal government progress in building national counter-IED capabilities. OBP also leads the Department of Homeland Security (DHS) in implementation of the national counter-IED policy, serving as the DHS Counter-IED Program Management Office (PMO) and chairing the DHS IED Working Group. Through its leadership role, OBP is instrumental in aligning DHS and national counter-IED efforts through centralized and effective coordination of ongoing programs with national policy and strategy goals, resulting in better resource allocation within OBP and across DHS and our Federal, state, local, tribal, territorial, and private sector partners. These information collections provide the information necessary to fulfill the mission of OBP.

Federal Register Notices

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

Authorizing Statutes

6 USC 652	View Law

Presidential Action:

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Preservation of Rail Service

Key Information

Abstract

Under the Interstate Commerce Act, as amended by the ICC Termination Act of 1995, Pub. L. No. 104-88, 109 Stat. 803 (1995), and Section 8(d) of the National Trails System Act, 16 U.S.C. § 1247(d) (Trails Act), persons seeking to preserve rail service may file pleadings before the Board to acquire or subsidize a rail line for continued service, or to impose a trail use or public use condition. More specifically, when a line is proposed for abandonment, affected shippers, communities, or other interested persons may seek to preserve rail service by filing with the Board: an offer of financial assistance to subsidize or purchase a rail line for which a railroad is seeking abandonment (49 U.S.C. § 10904), including a request for the Board to set terms and conditions of the financial assistance; a request for a public use condition (§ 10905); or a trail-use request under the Trails Act. Similarly, when a line is placed on a system diagram map identifying it as an anticipated or potential candidate for abandonment, affected shippers, communities, or other interested persons may seek to preserve rail service by filing with the Board a feeder line application to purchase the identified rail line (§ 10907). (Railroad owning the rail line subject to abandonment must, in some circumstances, provide information to the applicant or offeror.) The collection also encompasses certain notifications to the agency under the Trails Act and related regulations.

Federal Register Notices

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

Authorizing Statutes

16 USC 1247(d)	View Law

49 USC 10907	View Law

49 USC 10905	View Law

49 USC 10904	View Law

Presidential Action:

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Self-Certifications under the Data Privacy Framework Program

Key Information

Abstract

The United States, the European Union (EU), the United Kingdom (UK), and Switzerland share a commitment to enhancing privacy protection, the rule of law, and a recognition of the importance of transatlantic data flows to our respective citizens, economies, and societies, but take different approaches to doing so. Given those differences, the DOC developed the EU-U.S. DPF, the UK Extension to the EU-U.S. DPF, and the Swiss-U.S. DPF in consultation with the European Commission, the UK Government, the Swiss Federal Administration, industry, and other stakeholders. These arrangements were respectively developed to provide U.S. organizations reliable mechanisms for personal data transfers to the United States from the European Union, the United Kingdom (and, as applicable, Gibraltar), and Switzerland while ensuring data protection that is consistent with EU, UK, and Swiss law. The DOC issued the EU-U.S. DPF Principles and the Swiss-U.S. DPF Principles, including the respective sets of Supplemental Principles (collectively the Principles) and Annex I of the Principles, as well as the UK Extension to the EU-U.S. DPF under its statutory authority to foster, promote, and develop international commerce (15 U.S.C. § 1512). ITA administers and supervises the Data Privacy Framework program, including by maintaining and making publicly available the Data Privacy Framework List, an authoritative list of U.S. organizations that have self-certified to the DOC and declared their commitment to adhere to the Principles pursuant to the EU-U.S. DPF and, as applicable, the UK Extension to the EU-U.S. DPF, and/or the Swiss-U.S. DPF. Such organizations must respond promptly to inquiries and requests from ITA for information relating to their adherence to the Principles. On the basis of the Principles, Executive Order 14086, 28 CFR part 201, and accompanying letters and materials, including ITA’s commitments regarding the administration and supervision of the Data Privacy Framework program, the European Commission, the UK Government, and the Swiss Federal Administration have respectively recognized the adequacy of the protection provided by the EU-U.S. DPF, the UK Extension to the EU-U.S. DPF , and the Swiss-U.S. DPF thereby enabling personal data transfers from each respective jurisdiction to U.S. organizations participating in the relevant part of the Data Privacy Framework program. To initially self-certify or subsequently re-certify for the EU-U.S. DPF and, as applicable, UK Extension to the EU-U.S. DPF, and/or the Swiss-U.S. DPF, an organization must on each occasion provide to the DOC a submission that contains the relevant information specified in the Principles. The submission must be made via the DOC's Data Privacy Framework program website by an individual within the organization who is authorized to make representations on behalf of the organization and any of its covered U.S. entities regarding its adherence to the Principles. Such an organization must respond promptly to inquiries and other requests for information from the DOC.

Federal Register Notices

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

Authorizing Statutes

15 USC 1512	View Law

Presidential Action:

Reference Number:

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Concluded:

Action:

Request Type:

Securities Exchange Act Disclosure Rules

Key Information

Abstract

12 CFR parts 11 requires national banks and federal savings associations to file SEC forms concerning their securities transactions with the OCC. The OCC needs the information to ensure compliance with federal law. Investors, depositors, and the public use the information to make informed investment decisions.

Federal Register Notices

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

Authorizing Statutes

15 USC 7241 et seq.	View Law

15 USC 78l, 78m	View Law

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Rule 102, 17 CFR 242.102 (Activities by Issuers or Selling Securityholders During a Distribution)

Key Information

Abstract

Rules 101 and 102 of Regulation M regulate bids for and purchases of offered securities and certain other covered securities. While Rule 101 covers underwriters, broker-dealers, selling group members, and their affiliated purchasers, Rule 102 covers issuers, selling security holders, and their affiliated purchasers. Rules 101 and 102 apply only during a “restricted period” that commences either one or five business days (depending on the average daily trading volume of the offered security) prior to the determination of the offering price and continues until such person’s completion of participation in the distribution. Rule 102 includes a limited exception for certain actively-traded reference securities.

Federal Register Notices

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

Authorizing Statutes

15 USC 78w(a), 78dd-1, 78mm	View Law

15 USC 80a-23, 80a-29, 80a-37	View Law

15 USC 78o(g), 78q(a), 78q(b), 78q(h)	View Law

15 USC 77g, 77q(a), 77s(a)	View Law

15 USC 78b, 78c, 78g(c)(2), 78i(a)	View Law

15 USC 78j, 78k-1(c), 78l	View Law

15 USC 78m, 78n, 78o(b), 78o(c)	View Law

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