Government Securities Dealers Reports

Forms and Documents

Document Name	Status
Form FR 2004WI Daily Report of Dealer Activity in Treasury Financing Form	Modified
Form FR 2004SD Daily Report of Specific Issues Form	Modified
Form FR 2004SI Weekly Report of Specific Issues Form	Modified
Form FR 2004B Weekly Report of Cumulative Dealer Transactions Form	Modified
Form FR 2004A Weekly Report of Dealer Positions Form	Modified
Form FR 2004FM Settlement Cycle Report of Dealer Fails and Transaction Volumes Form	Modified
Form FR 2004FC Settlement Cycle Report of Dealer Fails and Transaction Volumes Class C Form	Modified
Form FR 2004FB Settlement Cycle Report of Dealer Fails and Transaction Volumes Class B Form	Modified
Form FR 2004FA Settlement Cycle Report of Dealer Fails and Transaction Volumes Class A Form	Modified
FR2004_201705_83c.pdf Justification for No Material/Nonsubstantive Change	2017-05-22

IC Document Collections

IC ID	Document Title	Status
45476	Daily Report of Dealer Activity in Treasury Financing Form	Modified
45475	Daily Report of Specific Issues Form	Modified
45474	Weekly Report of Specific Issues Form	Modified
45473	Weekly Report of Dealer Financing and Fails Instruction	Modified
45472	Weekly Report of Cumulative Dealer Transactions Form	Modified
35975	Weekly Report of Dealer Positions Form	Modified
214243	Settlement Cycle Report of Dealer Fails and Transaction Volumes Form	Modified
214242	Settlement Cycle Report of Dealer Fails and Transaction Volumes Class C Form	Modified
214241	Settlement Cycle Report of Dealer Fails and Transaction Volumes Class B Form	Modified
214240	Settlement Cycle Report of Dealer Fails and Transaction Volumes Class A Form	Modified
191156	Daily Report of Specific Issues ad hoc Other-null	Modified

ICR Details

OMB Control No: 7100-0003	ICR Reference No: 201705-7100-008
Status: Historical Active	Previous ICR Reference No: 201412-7100-014
Agency/Subagency: FRS	Agency Tracking No: FR 2004
Title: Government Securities Dealers Reports
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Delegated
OIRA Conclusion Action: Approved without change	Conclusion Date: 05/22/2017
	Date Received in OIRA: 05/22/2017
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2017	12/31/2017	12/31/2017
Responses	10,741	0	10,274
Time Burden (Hours)	21,735	0	20,790
Cost Burden (Dollars)	0	0	0

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Abstract: The Federal Reserve Bank of New York (FRBNY), on behalf of the Federal Reserve, collects data from primary dealers in the U.S. government securities market. Filing of these data is required to obtain the benefit of primary dealer status. The Federal Reserve uses these data to monitor the condition of the U.S. government securities market in its Treasury market surveillance and analysis of the market and to assist and support the U.S. Department of the Treasury (Treasury) in its role as fiscal agent for Treasury financing operations. In addition, these data are helpful in the analysis of broad financial conditions and a range of financial stability issues.

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Authorizing Statute(s): US Code: 12 USC 225a Name of Law: Federal Reserve Act
   US Code: 12 USC 263c Name of Law: Federal Reserve Act
   US Code: 12 USC 353-359 Name of Law: Federal Reserve Act
   US Code: 12 USC 391 Name of Law: Federal Reserve Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 57101	09/24/2014
30-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 74088	12/15/2014
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 11

IC Title	Form No.	Form Name
Settlement Cycle Report of Dealer Fails and Transaction Volumes Class A	FR 2004FA	Settlement Cycle Report of Dealer Fails and Transaction Volumes Class A
Settlement Cycle Report of Dealer Fails and Transaction Volumes Class B	FR 2004FB	Settlement Cycle Report of Dealer Fails and Transaction Volumes Class B
Settlement Cycle Report of Dealer Fails and Transaction Volumes Class C	FR 2004FC	Settlement Cycle Report of Dealer Fails and Transaction Volumes Class C
Settlement Cycle Report of Dealer Fails and Transaction Volumes	FR 2004FM	Settlement Cycle Report of Dealer Fails and Transaction Volumes
Daily Report of Dealer Activity in Treasury Financing	FR 2004WI	Daily Report of Dealer Activity in Treasury Financing
Daily Report of Specific Issues	FR 2004SD	Daily Report of Specific Issues
Weekly Report of Specific Issues	FR 2004SI	Weekly Report of Specific Issues
Weekly Report of Cumulative Dealer Transactions	FR 2004B	Weekly Report of Cumulative Dealer Transactions
Weekly Report of Dealer Financing and Fails	FR 2004C	Weekly Report of Dealer Financing and Fails
Daily Report of Specific Issues ad hoc
Weekly Report of Dealer Positions	FR 2004A	Weekly Report of Dealer Positions

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	10,741	10,274	0	0	467	0
Annual Time Burden (Hours)	21,735	20,790	0	0	945	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Increase in burden hours reflects update to the FR 2004 respondent count.

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Annual Cost to Federal Government: $700,000

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 05/22/2017

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