Recordkeeping and Confirmation Requirements for Securities Transactions

OMB 3064-0028

OMB 3064-0028

The collection of information requirements are contained in 12 CFR Part 344. The purpose of the regulation is to ensure that purchasers of securities in transactions affected by insured state nonmember banks are provided with adequate records concerning the transactions. The regulation is also designed to ensure that insured state nonmember banks maintain adequate records and controls with respect to the securities transactions they effect. Finally, this regulation requires officers and employees of FDIC-supervised institutions to report to the FDIC-supervised institution certain personal securities trading activity.

The latest form for Recordkeeping and Confirmation Requirements for Securities Transactions expires 2021-11-30 and can be found here.

Latest Forms, Documents, and Supporting Material
Document
Name
Supplementary Document
Supplementary Document
Supporting Statement A
All Historical Document Collections
 Extension without change of a currently approved collection 2024-10-23
Approved without change
 Revision of a currently approved collection 2021-11-29
Approved without change
 Revision of a currently approved collection 2018-09-28
Approved without change
 Extension without change of a currently approved collection 2015-06-26
Approved without change
 Extension without change of a currently approved collection 2012-07-16
Approved without change
 Revision of a currently approved collection 2009-05-26
Approved without change
 Extension without change of a currently approved collection 2006-05-24
Approved without change
 Extension without change of a currently approved collection 2003-04-04
Approved without change
 Extension without change of a currently approved collection 2000-02-24
Approved without change
 Revision of a currently approved collection 1997-02-25
Approved without change
 Extension without change of a currently approved collection 1995-06-08
Approved without change
 Revision of a currently approved collection 1992-04-17
Approved with change
 No material or nonsubstantive change to a currently approved collection 1989-04-07
Approved with change
 No material or nonsubstantive change to a currently approved collection 1989-04-04
Approved without change
 Revision of a currently approved collection 1989-04-13
Approved with change
 No material or nonsubstantive change to a currently approved collection 1988-08-11
Approved without change
 Revision of a currently approved collection 1988-02-10
Approved with change
 No material or nonsubstantive change to a currently approved collection 1987-08-13
Approved without change
 Revision of a currently approved collection 1987-02-20
Approved with change
 No material or nonsubstantive change to a currently approved collection 1986-09-08
Approved without change
 Revision of a currently approved collection 1986-02-05
Approved with change
 No material or nonsubstantive change to a currently approved collection 1985-10-25
Approved without change
 Revision of a currently approved collection 1984-07-30
Approved without change
 Extension without change of a currently approved collection 1981-09-21
Approved without change
 Revision of a currently approved collection 1981-04-30
OMB Details

Recordkeeping and Confirmation Requirements for Securities Transactions - 344.4

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

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