Government Securities Dealers Reports

Forms and Documents

Document Name	Status
Form FR 2004SD FR 2004SD Form	Modified
Form FR 2004SI FR 2004SI Form	Modified
Form FR 2004B FR 2004B Form	Modified
Form FR 2004A FR 2004A Form	Modified
Form FR 2004FM FR 2004FM Form	Modified
Form FR 2004FC FR 2004FC Form	Modified
Form FR 2004FB FR 2004FB Form	Modified
Form FR 2004FA FR 2004FA Form	Modified
Form FR 2004WI FR 2004WI Form	Modified
FR2004_20210614_83c.pdf Justification for No Material/Nonsubstantive Change	2021-06-14

IC Document Collections

IC ID	Document Title	Status
45476	FR 2004SD ad hoc Other-Sample Topics	Modified
45475	FR 2004SD Form	Modified
45474	FR 2004SI Form	Modified
45473	FR 2004C Instruction	Modified
45472	FR 2004B Form	Modified
35975	FR 2004A Form	Modified
214243	FR 2004FM Form	Modified
214242	FR 2004FC Form	Modified
214241	FR 2004FB Form	Modified
214240	FR 2004FA Form	Modified
191156	FR 2004WI Form	Modified

ICR Details

OMB Control No: 7100-0003	ICR Reference No: 202106-7100-010
Status: Historical Active	Previous ICR Reference No: 201712-7100-001
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: 06/14/2021
	Date Received in OIRA: 06/14/2021
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2021	06/30/2021	06/30/2021
Responses	11,568	0	10,741
Time Burden (Hours)	23,473	0	21,735
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 System, 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 (1) monitor the condition of the U.S. government securities market in its Treasury market surveillance and analysis of the market and to (2) 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:
	82 FR 31327	07/06/2017
30-day Notice:	Federal Register Citation:	Citation Date:
	82 FR 49207	10/24/2017
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
FR 2004A	FR 2004A	Weekly Report of Dealer Positions
FR 2004B	FR 2004B	Weekly Report of Cumulative Dealer Transactions
FR 2004C	FR 2004C	Weekly Report of Dealer Financing and Fails
FR 2004FA	FR 2004FA	Settlement Cycle Report of Dealer Fails and Transaction Volumes Class A
FR 2004FB	FR 2004FB	Settlement Cycle Report of Dealer Fails and Transaction Volumes Class B
FR 2004FC	FR 2004FC	Settlement Cycle Report of Dealer Fails and Transaction Volumes Class C
FR 2004FM	FR 2004FM	Settlement Cycle Report of Dealer Fails and Transaction Volumes
FR 2004SD	FR 2004SD	Daily Report of Specific Issues
FR 2004SD ad hoc
FR 2004SI	FR 2004SI	Weekly Report of Specific Issues
FR 2004WI	FR 2004WI	Daily Report of Dealer Activity in Treasury Financing

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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	11,568	10,741	0	0	827	0
Annual Time Burden (Hours)	23,473	21,735	0	0	1,738	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: The increase in total annual burden hours reflects an update to the respondent count.

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Annual Cost to Federal Government: $700,000

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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? No

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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: 06/14/2021

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