Recordkeeping Requirements for Securities Transactions

OMB 1557-0142

OMB 1557-0142

The information collection requirements in 12 CFR parts 12 and 151 are required to ensure that national banks and Federal savings associations comply with securities laws and to improve the protections afforded to persons who purchase and sell securities through these financial institutions. Parts 12 and 151 contain recordkeeping and confirmation requirements applicable to certain securities transactions effected by national banks or Federal savings associations for customers.

The latest form for Recordkeeping Requirements for Securities Transactions expires 2023-05-31 and can be found here.

All Historical Document Collections
Approved without change
Extension without change of a currently approved collection 2023-02-03
Approved without change
Extension without change of a currently approved collection 2020-04-15
Approved without change
Revision of a currently approved collection 2017-01-23
Comment filed on proposed rule and continue
Revision of a currently approved collection 2016-03-14
Approved without change
Extension without change of a currently approved collection 2015-05-13
Approved without change
Extension without change of a currently approved collection 2012-04-05
Approved without change
No material or nonsubstantive change to a currently approved collection 2011-09-14
Approved without change
Revision of a currently approved collection 2009-03-26
Approved without change
Revision of a currently approved collection 2006-01-26
Approved without change
Extension without change of a currently approved collection 2003-01-23
Approved without change
Extension without change of a currently approved collection 1999-11-29
Approved without change
Revision of a currently approved collection 1995-12-22
Approved without change
Extension without change of a currently approved collection 1995-09-01
Approved with change
No material or nonsubstantive change to a currently approved collection 1995-08-17
Approved without change
Revision of a currently approved collection 1992-09-04
Approved with change
No material or nonsubstantive change to a currently approved collection 1991-03-06
Approved without change
Revision of a currently approved collection 1989-04-21
Approved without change
Revision of a currently approved collection 1987-05-19
Approved with change
No material or nonsubstantive change to a currently approved collection 1986-02-18
Approved without change
Revision of a currently approved collection 1984-06-01
Approved without change
New collection (Request for a new OMB Control Number) 1981-10-16

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