Electronic Data Collection System-Tips, Complaints, Referrals (TCR)

ICR 202410-3235-008

OMB: 3235-0672

Federal Form Document

Forms and Documents
Document
Name
Status
Form
Unchanged
Form and Instruction
Unchanged
Justification for No Material/Nonsubstantive Change
2024-10-28
IC Document Collections
IC ID
Document
Title
Status
251947 Unchanged
194909 Unchanged
ICR Details
3235-0672 202410-3235-008
Received in OIRA 202203-3235-004
SEC EN-270-621
Electronic Data Collection System-Tips, Complaints, Referrals (TCR)
No material or nonsubstantive change to a currently approved collection   No
Regular 10/28/2024
  Requested Previously Approved
04/30/2025 04/30/2025
28,560 28,560
14,840 14,840
33,600 33,600

The Securities and Exchange Commission utilizes an Electronic Data Collection System, a Tips and Complaints Referral database. The database supports information provided by the general public that would like to file a tip or fraud complaint with the SEC. The database is a web based e-filed dynamic report based on current technology that pre-populates and establishes a series of questions based on the data that the individual enters. The individual will then complete specific information on the subject(s) and nature of the suspicious activity, using the data elements appropriate to the type of tip or complaint. The information collection is voluntary. A paper form is also available and has been approved under OMB Control number 3235-0686.

None
None

Not associated with rulemaking

  86 FR 72016 12/20/2021
87 FR 9733 02/22/2022
No

2
IC Title Form No. Form Name
TCR Form 3235-0686 Form TCR
Tips, Complaints and Referral Database-TCR N/A N/A

  Total Request 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 28,560 28,560 0 0 0 0
Annual Time Burden (Hours) 14,840 14,840 0 0 0 0
Annual Cost Burden (Dollars) 33,600 33,600 0 0 0 0
No
No
The increase in burden of 6,000 hours is due to the increase in TCR submissions received during the past three years. The Burden Change is also due to the Merger of Electronic Data Collection System and Form TCR under OMB Control Number 3235-0672.

$4,693,795
No
    Yes
    Yes
No
No
No
No
Osman Handoo 202 551-4536

  No

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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
10/28/2024


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