Commodity Futures Trading Commission
OMB NO: 3038-0005 EXPIRATION DATE: 05/31/2009
RESPS:27,575 HOURS:166,360 COSTS(000):$0
Rules Relating to the Operations and Activities of Commodity
Pool Operations and Commodity Trading Advisors and to Monthly
Reporting by Futures Commission Merchants
FORMS: NONE
OMB NO: 3038-0007 EXPIRATION DATE: 12/31/2008
RESPS:20,380 HOURS:7,985 COSTS(000):$0
Regulation of Domestic Exchange-Traded Options
FORMS: NONE
OMB NO: 3038-0009 EXPIRATION DATE: 02/28/2009
RESPS:62,420 HOURS:18,574 COSTS(000):$0
Large Trader Reports
FORMS: 102 40 204 304
OMB NO: 3038-0012 EXPIRATION DATE: 02/28/2009
RESPS:3,520 HOURS:1,760 COSTS(000):$0
Futures Volume, Open Interest, Price, Deliveries, and Exchanges
of Futures
FORMS: NONE
OMB NO: 3038-0013 EXPIRATION DATE: 04/30/2008
RESPS:16 HOURS:48 COSTS(000):$0
Exemptions from Speculative Limits
FORMS: NONE
OMB NO: 3038-0015 EXPIRATION DATE: 11/30/2008
RESPS:1 HOURS:5 COSTS(000):$0
Copies of Crop and Market Information Reports
FORMS: NONE
OMB NO: 3038-0017 EXPIRATION DATE: 10/31/2006
RESPS:400 HOURS:700 COSTS(000):$0
Market Surveys
FORMS: NONE
OMB NO: 3038-0019 EXPIRATION DATE: 03/31/2007
RESPS:156 HOURS:156 COSTS(000):$0
Stocks of Grain in Licensed Warehouses
FORMS: NONE
OMB NO: 3038-0021 EXPIRATION DATE: 11/30/2008
RESPS:6,173 HOURS:309 COSTS(000):$0
Regulations Governing Bankruptcies of Commodity Brokers
FORMS: NONE
OMB NO: 3038-0022 EXPIRATION DATE: 10/31/2007
RESPS:305,996 HOURS:770,527 COSTS(000):$0
Rules Pertaining to Contract Markets and Their Members
FORMS: NONE
OMB NO: 3038-0023 EXPIRATION DATE: 08/31/2007
RESPS:81,465 HOURS:7,405 COSTS(000):$0
Registration Under the Commodity Exchange Act
FORMS: 3-R 7-R NOTICE7-R 8-R 8-T 7-W 8-W
OMB NO: 3038-0024 EXPIRATION DATE: 03/31/2009
RESPS:77,877 HOURS:29,782 COSTS(000):$0
Regulations and Forms Pertaining to Financial Integrity of the
Market Place
FORMS: 1-FR-FCM
OMB NO: 3038-0025 EXPIRATION DATE: 10/31/2007
RESPS:4 HOURS:1 COSTS(000):$0
Practice by Former Members and Employees of the Commission
Pursuant to 17 C.F.R. 140.735.6
FORMS: NONE
OMB NO: 3038-0026 EXPIRATION DATE: 03/31/2008
RESPS:600 HOURS:48 COSTS(000):$0
Gross Collection of Exchange-Set Margins for Omnibus Accounts
FORMS: NONE
OMB NO: 3038-0031 EXPIRATION DATE: 09/30/2006
RESPS:180 HOURS:360 COSTS(000):$0
Procurement Contracts
FORMS: NONE
OMB NO: 3038-0033 EXPIRATION DATE: 12/31/2008
RESPS:1 HOURS:10 COSTS(000):$0
Notification of Pending Legal Proceedings
FORMS: NONE
OMB NO: 3038-0043 EXPIRATION DATE: 06/30/2009
RESPS:51 HOURS:26 COSTS(000):$0
Rules Relating to Review of National Futures Association
Decisions in Disciplinary, Membership Denial, Registration &
Member Responsibility Actions
FORMS: NONE
OMB NO: 3038-0048 EXPIRATION DATE: 03/31/2009
RESPS:411 HOURS:2,315 COSTS(000):$0
Off-Exchange Agricultural Trade Options
FORMS: 3-R 7-W 8-R 7-R 8-T
OMB NO: 3038-0049 EXPIRATION DATE: 08/31/2007
RESPS:479 HOURS:3,197 COSTS(000):$0
Procedural Requirements for Requests for Interpretative, No-
Action and Exemptive Letters
FORMS: NONE
OMB NO: 3038-0051 EXPIRATION DATE: 11/30/2008
RESPS:10 HOURS:2,000 COSTS(000):$0
Part 39 Derivatives Clearing Organizations
FORMS: NONE
OMB NO: 3038-0052 EXPIRATION DATE: 11/30/2008
RESPS:13 HOURS:3,900 COSTS(000):$0
Part 38 - Designated Contract Markets
FORMS: NONE
OMB NO: 3038-0054 EXPIRATION DATE: 08/31/2007
RESPS:10 HOURS:100 COSTS(000):$0
Part 36 Establishing Notification Procedures for Entitles
Operating as Exempt Markets
FORMS: NONE
OMB NO: 3038-0055 EXPIRATION DATE: 08/31/2007
RESPS:317,414 HOURS:85,690 COSTS(000):$6,081,120
Privacy of Consumer Financial Information
FORMS: NONE
OMB NO: 3038-0059 EXPIRATION DATE: 10/31/2007
RESPS:2,739 HOURS:1,620 COSTS(000):$0
Part 41, Relating to Security Futures Products
FORMS: NONE
AGENCY TOTALS:
ACTIVE ANNUAL ANNUAL ANNUAL
REPORTS RESPONSES HOURS COSTS($000)
24 907,891 1,102,878 $6,081,120
Consumer Product Safety Commission
OMB NO: 3041-0003 EXPIRATION DATE: 08/31/2007
RESPS:55 HOURS:55 COSTS(000):$0
Procedures for the Export of Noncomplying Products
FORMS: NONE
OMB NO: 3041-0006 EXPIRATION DATE: 08/31/2006
RESPS:5 HOURS:1,100 COSTS(000):$0
Safety Standard for Omnidirectional Citizens Band Base Station
Antennas, 16 CFR Part 1204
FORMS: NONE
OMB NO: 3041-0012 EXPIRATION DATE: 09/30/2007
RESPS:16 HOURS:80 COSTS(000):$0
Recordkeeping Requirements Under the Safety Standard for Non
Full-Size Cribs
FORMS: NONE
OMB NO: 3041-0013 EXPIRATION DATE: 09/30/2007
RESPS:54 HOURS:270 COSTS(000):$0
Recordkeeping Requirements Under the Safety Standard for Full-
Size Cribs
FORMS: NONE
OMB NO: 3041-0014 EXPIRATION DATE: 08/31/2007
RESPS:751 HOURS:19,526 COSTS(000):$0
Testing and Recordkeeping Requirements Under the Standard for
the Flammability of Mattresses and Mattress Pads, 16 CFR 1632
FORMS: NONE
OMB NO: 3041-0017 EXPIRATION DATE: 04/30/2009
RESPS:12,000 HOURS:30,000 COSTS(000):$0
Standard for the Flammability of Carpets and Rugs (FF-1-70), 16
CFR 1630 and Standard for the Flammability of Small Carpets and
Rugs (FF 2-70), 16 CFR 1631
FORMS: NONE
OMB NO: 3041-0019 EXPIRATION DATE: 04/30/2009
RESPS:28 HOURS:56 COSTS(000):$0
Ban of Certain Articles Known as Baby-Bouncers, Walker-Jumpers,
and Baby Walkers, 16 CFR Section 1500.18(a)(6) and Section
1500.86(a)(4)
FORMS: NONE
OMB NO: 3041-0022 EXPIRATION DATE: 07/31/2007
RESPS:45 HOURS:59,400 COSTS(000):$0
Amended Interim Safety Standard for Cellulose Insulation (16
C.F.R. Part 1209)
FORMS: NONE
OMB NO: 3041-0024 EXPIRATION DATE: 09/30/2006
RESPS:101 HOURS:101,600 COSTS(000):$0
Standard for the Flammability of Clothing Textiles, 16 CFR Part
1610; Standard for the Flammability of Vinyl Plastic Film, 16
CFR Part 1611
FORMS: NONE
OMB NO: 3041-0027 EXPIRATION DATE: 06/30/2009
RESPS:53 HOURS:318,000 COSTS(000):$0
Standards for the Flammability of Children's Sleepwear, sizes
0-6X (16 CFR 1615) and sizes 7-14 (16 CFR 1616)
FORMS: NONE
OMB NO: 3041-0029 EXPIRATION DATE: 09/30/2006
RESPS:14,100 HOURS:5,472 COSTS(000):$0
Follow-UP Activities for Product-Related Injuries
FORMS: 182 175
OMB NO: 3041-0035 EXPIRATION DATE: 08/31/2006
RESPS:400 HOURS:8,000 COSTS(000):$0
Requirements for Electrically Operated Toys, 16 C.F.R. Part 1505
FORMS: NONE
OMB NO: 3041-0040 EXPIRATION DATE: 11/30/2008
RESPS:5 HOURS:15 COSTS(000):$0
Notification Requirements for Coal and Wood Burning Appliances
FORMS: NONE
OMB NO: 3041-0059 EXPIRATION DATE: 04/30/2009
RESPS:1,005 HOURS:17,658 COSTS(000):$0
Information Collection Associated with Procurement of Goods and
Services
FORMS: SF-33 SF-18 SF-1449
OMB NO: 3041-0080 EXPIRATION DATE: 11/30/2008
RESPS:40 HOURS:40 COSTS(000):$0
Information Collection Requirements for Sound Levels for Toy Caps
FORMS: NONE
OMB NO: 3041-0091 EXPIRATION DATE: 08/31/2006
RESPS:20 HOURS:7,800 COSTS(000):$0
Safety Standard for Walk-Behind Lawn Mowers, 16 CFR 1205
FORMS: NONE
OMB NO: 3041-0116 EXPIRATION DATE: 08/31/2006
RESPS:120 HOURS:10,540 COSTS(000):$0
Safety Standard for Cigarette Lghters
FORMS: NONE
OMB NO: 3041-0125 EXPIRATION DATE: 09/30/2006
RESPS:22 HOURS:880 COSTS(000):$0
Safety Standard for Automatic Residential Garage Door Operators
16 CFR Part 1211
FORMS: NONE
OMB NO: 3041-0127 EXPIRATION DATE: 10/31/2007
RESPS:200 HOURS:30,000 COSTS(000):$0
Safety Standard for Bicycle Helmets
FORMS: NONE
OMB NO: 3041-0128 EXPIRATION DATE: 08/31/2008
RESPS:745 HOURS:50 COSTS(000):$0
Customer Satisfaction Surveys: Fast Track Recall Survey,
Ombudsman Survey, State Partner Survey, Hotline Survey, Web
Site, and Clearinghouse Survey
FORMS: NONE
OMB NO: 3041-0130 EXPIRATION DATE: 07/31/2007
RESPS:200 HOURS:10,000 COSTS(000):$0
Safety Standard for Multi-Purpose Lighters (16 CFR Parts 1212
and 1145)
FORMS: NONE
OMB NO: 3041-0133 EXPIRATION DATE: 06/30/2009
RESPS:13,420 HOURS:63,521 COSTS(000):$22,446
Testing and Recordkeeping Requirements under the Standard for
the Flammability (Open Flame) of Mattresses
FORMS: NONE
AGENCY TOTALS:
ACTIVE ANNUAL ANNUAL ANNUAL
REPORTS RESPONSES HOURS COSTS($000)
22 43,385 684,063 $22,446
Federal Deposit Insurance Corporation
OMB NO: 3064-0001 EXPIRATION DATE: 02/28/2007
RESPS:193 HOURS:24,125 COSTS(000):$0
Interagency Charter and Federal Deposit Insurance Application
FORMS: NONE
OMB NO: 3064-0006 EXPIRATION DATE: 11/30/2007
RESPS:1,769 HOURS:7,076 COSTS(000):$0
Interagency Biographical and Financial Report
FORMS: FIC-6200/06
OMB NO: 3064-0011 EXPIRATION DATE: 10/31/2006
RESPS:16 HOURS:59 COSTS(000):$0
Foreign Branch Report of Condiiton
FORMS: FFIEC-030
OMB NO: 3064-0015 EXPIRATION DATE: 07/31/2008
RESPS:362 HOURS:8,796 COSTS(000):$0
Interagency Bank Merger Application
FORMS: NONE
OMB NO: 3064-0017 EXPIRATION DATE: 04/30/2009
RESPS:84 HOURS:6,321 COSTS(000):$0
Country Exposure Report
FORMS: FFIEC-009 FFIEC-009A
OMB NO: 3064-0018 EXPIRATION DATE: 08/31/2006
RESPS:14 HOURS:224 COSTS(000):$0
Application Pursuant to Section 19 of the Federal Deposit
Insurance Act
FORMS: 6710/07
OMB NO: 3064-0019 EXPIRATION DATE: 11/30/2007
RESPS:27 HOURS:810 COSTS(000):$0
Interagency Notice of Change in Control
FORMS: FDIC-6822-01
OMB NO: 3064-0022 EXPIRATION DATE: 10/31/2008
RESPS:75 HOURS:75 COSTS(000):$0
Uniform Application/Uniform Termination for Municipal Securities
Principal or Representative
FORMS: MSD-4 MSD-5
OMB NO: 3064-0023 EXPIRATION DATE: 03/31/2007
RESPS:26,660 HOURS:47,998 COSTS(000):$0
Reports on Indebtedness of Executive Officers and Principal
Shareholders to Correspondent Banks and to Own Bank
FORMS: FFIEC-004
OMB NO: 3064-0025 EXPIRATION DATE: 04/30/2007
RESPS:18 HOURS:208 COSTS(000):$0
Application for Consent to Exercise Trust Powers
FORMS: 6200/09
OMB NO: 3064-0026 EXPIRATION DATE: 08/31/2007
RESPS:18 HOURS:17 COSTS(000):$0
Transfer Agent Registration and Amendment Form
FORMS: TA-1
OMB NO: 3064-0027 EXPIRATION DATE: 10/31/2008
RESPS:15 HOURS:6 COSTS(000):$0
Request for Deregistration for Registered Transfer Agents
FORMS: FDIC-6342/12
OMB NO: 3064-0028 EXPIRATION DATE: 06/30/2009
RESPS:4,606 HOURS:128,553 COSTS(000):$0
Recordkeeping and Confirmation Requirements for Securities
Transactions
FORMS: NONE
OMB NO: 3064-0029 EXPIRATION DATE: 10/31/2008
RESPS:412 HOURS:206 COSTS(000):$0
Notification of Performance of Bank Services
FORMS: FDIC-6120/06
OMB NO: 3064-0030 EXPIRATION DATE: 03/31/2007
RESPS:1,800 HOURS:1,100 COSTS(000):$0
Securities of Insured Nonmember Banks
FORMS: 3 4 5
OMB NO: 3064-0046 EXPIRATION DATE: 08/31/2006
RESPS:1,000,000 HOURS:83,333 COSTS(000):$0
Home Mortgage Disclosure Act (HMDA)
FORMS: NONE
OMB NO: 3064-0052 EXPIRATION DATE: 03/31/2009
RESPS:20,988 HOURS:740,247 COSTS(000):$0
Consolidated Reports of Condition and Income (Call Report)
FORMS: FFIEC-031 FFIEC-041
OMB NO: 3064-0057 EXPIRATION DATE: 07/31/2007
RESPS:19,400 HOURS:6,467 COSTS(000):$0
Certified Statement for Seminannual Deposit Insurance Assessment
FORMS: 6420/07A
OMB NO: 3064-0061 EXPIRATION DATE: 09/30/2008
RESPS:6,000 HOURS:18,000 COSTS(000):$0
Summary of Deposits
FORMS: FDIC-8020/05
OMB NO: 3064-0070 EXPIRATION DATE: 02/28/2007
RESPS:1,540 HOURS:7,700 COSTS(000):$0
Application for a bank to establlish a branch or Move its Main
Office or Branch
FORMS: NONE
OMB NO: 3064-0072 EXPIRATION DATE: 08/31/2008
RESPS:8,810 HOURS:3,113 COSTS(000):$0
Acquisition Services Information Requirements
FORMS: 3064-1600/04 3064-1600/07 3064-1600/10 3064-3700/04A
3064-3700/12 3064-3700/44
OMB NO: 3064-0077 EXPIRATION DATE: 07/31/2009
RESPS:16,018 HOURS:16,018 COSTS(000):$0
Suspicious Activity Report
FORMS: 6710/06
OMB NO: 3064-0079 EXPIRATION DATE: 02/28/2007
RESPS:80 HOURS:80 COSTS(000):$0
Application for consent to reduce or retire capital
FORMS: NONE
OMB NO: 3064-0082 EXPIRATION DATE: 12/31/2007
RESPS:4,941 HOURS:2,373,600 COSTS(000):$0
Recordkeeping and Disclosure Requirements in Connection with
Regulation Z (Truth in Lending)
FORMS: NONE
OMB NO: 3064-0083 EXPIRATION DATE: 12/31/2007
RESPS:175,500 HOURS:131,625 COSTS(000):$0
Recordkeeping and Disclosure Requirements in Connection with
Regulation M (Consumer Leasing)
FORMS: NONE
OMB NO: 3064-0084 EXPIRATION DATE: 08/31/2008
RESPS:5,300 HOURS:920,589 COSTS(000):$0
Account Based Disclosures in Connection with Federal Reserve
Regulations E, CC and DD
FORMS: NONE
OMB NO: 3064-0085 EXPIRATION DATE: 12/31/2007
RESPS:5,318 HOURS:717,642 COSTS(000):$0
Recordkeeping and Disclosure Requirements in Connection with
Regulation B (Equal Credit Opportunity)
FORMS: NONE
OMB NO: 3064-0087 EXPIRATION DATE: 10/31/2007
RESPS:5,300 HOURS:2,650 COSTS(000):$0
Procedures for Monitoring Bank Secrecy Act Compliance
FORMS: NONE
OMB NO: 3064-0090 EXPIRATION DATE: 08/31/2006
RESPS:5,500 HOURS:2,750 COSTS(000):$0
Public Disclosure by Banks
FORMS: NONE
OMB NO: 3064-0092 EXPIRATION DATE: 10/31/2007
RESPS:5,296 HOURS:193,975 COSTS(000):$0
Community Reinvestment Act
FORMS: NONE
OMB NO: 3064-0093 EXPIRATION DATE: 08/31/2006
RESPS:110 HOURS:110 COSTS(000):$0
Notices Required of Government Securities Dealers or Brokers
(Insured State Nonmember Banks)
FORMS: G-FIN G-FINW G-FIN4 G-FIN5
OMB NO: 3064-0095 EXPIRATION DATE: 08/31/2006
RESPS:5,500 HOURS:2,750 COSTS(000):$0
Procedures for Monitoring Bank Protection Act Compliance
FORMS: NONE
OMB NO: 3064-0097 EXPIRATION DATE: 04/30/2009
RESPS:200 HOURS:400 COSTS(000):$0
Interagency Notice of Change in Director or Executive Officer
FORMS: NONE
OMB NO: 3064-0099 EXPIRATION DATE: 10/31/2007
RESPS:30 HOURS:180 COSTS(000):$0
Application for Waiver of Prohibition on Acceptance of Brokered
Deposits b Adequately Capitalized Insured Institutions
FORMS: NONE
OMB NO: 3064-0103 EXPIRATION DATE: 01/31/2007
RESPS:328,600 HOURS:82,150 COSTS(000):$0
Appraisal Standards
FORMS: NONE
OMB NO: 3064-0104 EXPIRATION DATE: 02/28/2007
RESPS:75 HOURS:375 COSTS(000):$0
Activities and Investments of Savings Associations
FORMS: NONE
OMB NO: 3064-0108 EXPIRATION DATE: 07/31/2007
RESPS:8,000 HOURS:8,000 COSTS(000):$0
Extensions of Credit to Executive Officers; Unsafe and Unsound
Practices
FORMS: NONE
OMB NO: 3064-0109 EXPIRATION DATE: 03/31/2008
RESPS:1,768 HOURS:3,836 COSTS(000):$0
Notice of Branch Closure
FORMS: NONE
OMB NO: 3064-0111 EXPIRATION DATE: 08/31/2006
RESPS:130 HOURS:1,040 COSTS(000):$0
Activities and Investments of Insured State Banks
FORMS: NONE
OMB NO: 3064-0112 EXPIRATION DATE: 10/31/2007
RESPS:5,300 HOURS:106,000 COSTS(000):$0
Real Estate Lending Standards
FORMS: NONE
OMB NO: 3064-0113 EXPIRATION DATE: 10/31/2008
RESPS:15,684 HOURS:65,612 COSTS(000):$0
External Audits
FORMS: NONE
OMB NO: 3064-0114 EXPIRATION DATE: 12/31/2006
RESPS:164 HOURS:2,336 COSTS(000):$0
Foreign Banks
FORMS: NONE
OMB NO: 3064-0115 EXPIRATION DATE: 08/31/2008
RESPS:19 HOURS:76 COSTS(000):$0
Prompt corrective Action
FORMS: NONE
OMB NO: 3064-0116 EXPIRATION DATE: 08/31/2006
RESPS:12 HOURS:12 COSTS(000):$0
Certification of Eligibility Under the Affordable Housing Program
FORMS: NONE
OMB NO: 3064-0117 EXPIRATION DATE: 08/31/2006
RESPS:10 HOURS:500 COSTS(000):$0
Mutual-to-Stock Conversions of State Savings Banks.
FORMS: NONE
OMB NO: 3064-0118 EXPIRATION DATE: 10/31/2007
RESPS:2 HOURS:8 COSTS(000):$0
Management Official Interlocks
FORMS: NONE
OMB NO: 3064-0120 EXPIRATION DATE: 07/31/2008
RESPS:180,000 HOURS:14,272 COSTS(000):$0
Flood Insurance
FORMS: NONE
OMB NO: 3064-0121 EXPIRATION DATE: 06/30/2009
RESPS:200 HOURS:33 COSTS(000):$0
Certification of Compliance with Mandatory Bars to Employment
FORMS: FDIC-2120/16
OMB NO: 3064-0122 EXPIRATION DATE: 03/31/2007
RESPS:4,603 HOURS:3,519 COSTS(000):$0
Forms Relating to FDIC Outside Counsel, Legal Support and Expert
Services Programs
FORMS: 5000/24 5000/25 5000/26 5000/27 5000/28 5000/29 5000/31 5000/32
5000/33 5000/34
OMB NO: 3064-0124 EXPIRATION DATE: 12/31/2008
RESPS:285 HOURS:75 COSTS(000):$0
Certification of Assumption of Deposits and Notification of
Changes of Insured Status
FORMS: NONE
OMB NO: 3064-0125 EXPIRATION DATE: 09/30/2007
RESPS:61 HOURS:20,290 COSTS(000):$0
Foreign Branching and Investment by Insured State Nonmember Banks
FORMS: NONE
OMB NO: 3064-0127 EXPIRATION DATE: 05/31/2007
RESPS:8,500 HOURS:8,500 COSTS(000):$0
Occassional Qualitative Surveys
FORMS: 2006-01
OMB NO: 3064-0134 EXPIRATION DATE: 04/30/2009
RESPS:5,000 HOURS:2,500 COSTS(000):$0
Customer Assistance
FORMS: FDIC-6422/04
OMB NO: 3064-0135 EXPIRATION DATE: 04/30/2009
RESPS:2,500 HOURS:1,250 COSTS(000):$0
Purchaser Eligibility Certification
FORMS: FDIC-7300/06
OMB NO: 3064-0136 EXPIRATION DATE: 08/31/2006
RESPS:229,694 HOURS:176,466 COSTS(000):$0
Privacy of Consumer Financial Information
FORMS: NONE
OMB NO: 3064-0137 EXPIRATION DATE: 04/30/2007
RESPS:20 HOURS:149 COSTS(000):$0
Asset Securitization
FORMS: NONE
OMB NO: 3064-0138 EXPIRATION DATE: 08/31/2006
RESPS:10,000 HOURS:500 COSTS(000):$0
Applicant Background Questionnaire
FORMS: 2100/14
OMB NO: 3064-0139 EXPIRATION DATE: 02/28/2007
RESPS:206 HOURS:501 COSTS(000):$0
CRA Sunshine
FORMS: NONE
OMB NO: 3064-0140 EXPIRATION DATE: 04/30/2007
RESPS:5,520 HOURS:13,350 COSTS(000):$0
Insurance Sales Consumer Protections
FORMS: NONE
OMB NO: 3064-0143 EXPIRATION DATE: 07/31/2008
RESPS:5,095 HOURS:2,875 COSTS(000):$0
Forms Relating to Processing Deposit Insurance Claims
FORMS: 7200/03 7200/04 7200/05 7200/06 7200/07 7200/08-7200/09
7200/10-7200/11 7200/12-7200/13 7200/14-7200/15
OMB NO: 3064-0145 EXPIRATION DATE: 09/30/2006
RESPS:5,200 HOURS:127,439 COSTS(000):$0
Notice Regarding Unauthorized Access to Customer Information
FORMS: NONE
OMB NO: 3064-0146 EXPIRATION DATE: 04/30/2007
RESPS:15 HOURS:86 COSTS(000):$0
Transactions with Affiliates
FORMS: NONE
OMB NO: 3064-0147 EXPIRATION DATE: 06/30/2007
RESPS:1,500 HOURS:500 COSTS(000):$0
Student Educational Employment Program
FORMS: 2100-08B
OMB NO: 3064-0148 EXPIRATION DATE: 07/31/2007
RESPS:5 HOURS:125 COSTS(000):$0
Complex Structured Finance Transactions
FORMS: NONE
OMB NO: 3064-0149 EXPIRATION DATE: 08/31/2007
RESPS:1,094,168 HOURS:186,099 COSTS(000):$0
Affiliate Marketing/Consumer Opt-out Notices
FORMS: NONE
OMB NO: 3064-0151 EXPIRATION DATE: 06/30/2009
RESPS:500 HOURS:1,000 COSTS(000):$0
Notice Regarding Assessment Credits
FORMS: NONE
AGENCY TOTALS:
ACTIVE ANNUAL ANNUAL ANNUAL
REPORTS RESPONSES HOURS COSTS($000)
66 3,234,736 6,276,277 $0
Federal Energy Regulatory Commission
OMB NO: 1902-0004 EXPIRATION DATE: 07/31/2008
RESPS:22 HOURS:18 COSTS(000):$0
Report of Service Interruptions, RM05-12-000 NOPR, Modification
of Natural Gas Reporting Regulations
FORMS: 576
OMB NO: 1902-0005 EXPIRATION DATE: 06/30/2009
RESPS:91 HOURS:12,724 COSTS(000):$0
Annual Reports of System Flow Diagrams and System Capacity
FORMS: 567
OMB NO: 1902-0019 EXPIRATION DATE: 05/31/2008
RESPS:2 HOURS:80 COSTS(000):$0
Oil Pipeline Service Life Data
FORMS: 73
OMB NO: 1902-0021 EXPIRATION DATE: 02/28/2009
RESPS:220 HOURS:250,107 COSTS(000):$0
Annual Report of Major Public Utilities, Licensees and Others,
Docket RM04-12-000 (Accounting and Financial Reporting for
Public Utilities Including RTOs)
FORMS: FERC-1
OMB NO: 1902-0022 EXPIRATION DATE: 06/30/2007
RESPS:159 HOURS:29,574 COSTS(000):$0
Annual Report of Oil Pipeline Companies Docket RM03-8-000
(Quarterly Financial Reporting and Revisions to the Annual
Reports)
FORMS: 6
OMB NO: 1902-0024 EXPIRATION DATE: 05/31/2007
RESPS:584 HOURS:7,008 COSTS(000):$0
Monthly Report of Cost and Quality of Fuels for Electric Plants
FORMS: 423
OMB NO: 1902-0028 EXPIRATION DATE: 06/30/2007
RESPS:57 HOURS:89,490 COSTS(000):$0
Annual Report of Major Natural Gas Companies Docket RM03-8-000
(Quarterly FInancial Reporting and Revisions to the Annual
Reports)
FORMS: 2
OMB NO: 1902-0029 EXPIRATION DATE: 02/28/2009
RESPS:33 HOURS:3,454 COSTS(000):$0
Annual Report of NonMajor Public Utilities, Licensees, and
Others, Docket RM04-12-000 (Accounting and Financial Reporting
for Public Utilities including RTOs)
FORMS: FERC-1-F
OMB NO: 1902-0030 EXPIRATION DATE: 06/30/2007
RESPS:53 HOURS:6,095 COSTS(000):$0
Annual Report of Nonmajor Natural Gas Companies Docket RM03-8-
000 (Quarterly Financial Reporting and Revisions to the Annual
Reports)
FORMS: 2-A
OMB NO: 1902-0032 EXPIRATION DATE: 10/31/2008
RESPS:252 HOURS:756 COSTS(000):$0
Natural Gas Pipeline Company Quarterly Statement of Monthly Data
FORMS: 11
OMB NO: 1902-0043 EXPIRATION DATE: 08/31/2008
RESPS:60 HOURS:5,280 COSTS(000):$0
Application for Authorization for the Issuance of Securities or
the Assumption of Liabilities, RM05-11-000 Final Rule,
Electronic Filing
FORMS: 523
OMB NO: 1902-0058 EXPIRATION DATE: 10/31/2006
RESPS:34 HOURS:1,211,080 COSTS(000):$62,285
Applications for License/Relicense for Water Projects with
Greater than 5 MW Capacity, (RM02-16-Finald Rule)
FORMS: 500
OMB NO: 1902-0060 EXPIRATION DATE: 12/31/2008
RESPS:815 HOURS:200,344 COSTS(000):$0
Gas Pipeline Certificates: Construction, Acquisition and
Abandonment, RM05-31-000 Final Rule
FORMS: 537
OMB NO: 1902-0061 EXPIRATION DATE: 05/31/2007
RESPS:1 HOURS:240 COSTS(000):$0
Gas Pipeline Certificates: Section 7(a) Mandatory Initial Service
FORMS: 538
OMB NO: 1902-0062 EXPIRATION DATE: 06/30/2009
RESPS:304 HOURS:3,652 COSTS(000):$0
Gas Pipeline Certificates: Import/Export Related, RM06-1-000 NOPR
FORMS: FERC-539
OMB NO: 1902-0068 EXPIRATION DATE: 10/31/2008
RESPS:8 HOURS:80 COSTS(000):$0
Application for Surrender of Hydropower License
FORMS: 510
OMB NO: 1902-0069 EXPIRATION DATE: 12/31/2007
RESPS:23 HOURS:920 COSTS(000):$0
Application for Transfer of License
FORMS: 511
OMB NO: 1902-0070 EXPIRATION DATE: 12/31/2007
RESPS:57 HOURS:23,940 COSTS(000):$0
Gas Pipeline Rates: Rate Tracking
FORMS: FERC-542
OMB NO: 1902-0073 EXPIRATION DATE: 08/31/2008
RESPS:50 HOURS:3,102 COSTS(000):$0
Application for Preliminary Permits, RM05-18-000 Final Rule,
Modification of Hydropower Procedural Regulations
FORMS: 512
OMB NO: 1902-0075 EXPIRATION DATE: 07/31/2009
RESPS:297 HOURS:10,368 COSTS(000):$0
Cogeneration Facilities and Small Power Production, RM05-36-001
Final Rule on Rehearing, Revised Regulations
FORMS: 556
OMB NO: 1902-0079 EXPIRATION DATE: 12/31/2007
RESPS:10 HOURS:800 COSTS(000):$0
Rules of Practice and Procedure: Declaration of Intention
FORMS: 515
OMB NO: 1902-0082 EXPIRATION DATE: 06/30/2009
RESPS:134 HOURS:52,930 COSTS(000):$6,141
Application Under Federal Power Act Section 203, RM05-34-001
Final Rule on Rehearing
FORMS: 519
OMB NO: 1902-0083 EXPIRATION DATE: 10/31/2008
RESPS:28 HOURS:1,450 COSTS(000):$0
Application for Authority to Hold Interlocking Interlocking
Directorate Positions
FORMS: FERC-520
OMB NO: 1902-0084 EXPIRATION DATE: 09/30/2007
RESPS:75 HOURS:5,625 COSTS(000):$0
Gas Pipeline Rates: Refund Report Requirements
FORMS: 547
OMB NO: 1902-0086 EXPIRATION DATE: 06/30/2008
RESPS:222 HOURS:1,290 COSTS(000):$0
Gas Pipeline Rates: NGPA Title III Transactions and Blanket
Certificate Transactions
FORMS: 549
OMB NO: 1902-0087 EXPIRATION DATE: 06/30/2008
RESPS:3 HOURS:120 COSTS(000):$0
Payments for Benefits from Headwater Improvements
FORMS: FERC-521
OMB NO: 1902-0089 EXPIRATION DATE: 07/31/2008
RESPS:600 HOURS:6,600 COSTS(000):$0
Oil Pipeline Rates: Tariff Filings
FORMS: 550
OMB NO: 1902-0096 EXPIRATION DATE: 07/31/2008
RESPS:4,234 HOURS:393,841 COSTS(000):$0
Electri Rate Schedule3 Filings, RM05-4-000, Proposed Rule,
Inter- connection for Wind Energy and Other Alternative
Technologies.
FORMS: 516
OMB NO: 1902-0098 EXPIRATION DATE: 11/30/2007
RESPS:535 HOURS:1,285,930 COSTS(000):$0
Preservation of Records for Public Utilities and Licenses,
Natural Gas and Oil Pipeline Companies.
FORMS: 555
OMB NO: 1902-0099 EXPIRATION DATE: 05/31/2008
RESPS:1,649 HOURS:412 COSTS(000):$0
Annual Report of Interlocking Directories
FORMS: 561
OMB NO: 1902-0114 EXPIRATION DATE: 05/31/2008
RESPS:183 HOURS:1,098 COSTS(000):$0
Annual Report of Twenty Largest Purchasers
FORMS: 566
OMB NO: 1902-0115 EXPIRATION DATE: 10/31/2006
RESPS:22 HOURS:153,100 COSTS(000):$8,283
Application for License/Relicense for Water Projects with Less
than 5 MW Capacity, (RM02-16 Final Rule)
FORMS: 505
OMB NO: 1902-0116 EXPIRATION DATE: 12/31/2007
RESPS:1 HOURS:245 COSTS(000):$0
Gas Pipeline Certificates: Hinshaw Exemption
FORMS: 574
OMB NO: 1902-0128 EXPIRATION DATE: 12/31/2008
RESPS:1,280 HOURS:247,686 COSTS(000):$0
Gas Pipeline Certificates: Environmental Impact Statement,
RM05-31-000 Final Rule
FORMS: 577
OMB NO: 1902-0132 EXPIRATION DATE: 09/30/2007
RESPS:192 HOURS:768 COSTS(000):$0
Electric Fees and Annual Charges
FORMS: FERC-582
OMB NO: 1902-0136 EXPIRATION DATE: 10/31/2008
RESPS:705 HOURS:1,410 COSTS(000):$0
Annual Kilowatt Generating Report (Annual Charges)
FORMS: 583
OMB NO: 1902-0137 EXPIRATION DATE: 06/30/2007
RESPS:57 HOURS:3,600 COSTS(000):$0
Interrogatory on Fuel and Energy Purchase Practices, IN79-6
FORMS: FORM-580
OMB NO: 1902-0138 EXPIRATION DATE: 06/30/2009
RESPS:7 HOURS:511 COSTS(000):$0
Reporting of Electric Shortages and Contingency Plans Under
PURPA 206
FORMS: 585
OMB NO: 1902-0140 EXPIRATION DATE: 10/31/2006
RESPS:237 HOURS:17,775 COSTS(000):$0
Annual Electric Control and Planning Area Report
FORMS: 714
OMB NO: 1902-0144 EXPIRATION DATE: 07/31/2008
RESPS:8 HOURS:64 COSTS(000):$0
Emergency Natural Gas Transportation, Sale and Exchange Trans-
actions, RM05-12-000 Modifications of Natural Gas Reporting
Regulations (NOPR)
FORMS: 588
OMB NO: 1902-0145 EXPIRATION DATE: 06/30/2009
RESPS:250 HOURS:250 COSTS(000):$0
Land Description, (Public Land States/Non-Public Land States
(Rectangular or Non Rectangular Survey System Lands in Public
Land States)
FORMS: 587
OMB NO: 1902-0153 EXPIRATION DATE: 10/31/2006
RESPS:10 HOURS:45,830 COSTS(000):$0
Gas Pipeline Rates: Rate Change (Formal)
FORMS: FERC-544
OMB NO: 1902-0154 EXPIRATION DATE: 06/30/2008
RESPS:93 HOURS:91,897 COSTS(000):$0
Gas Pipeline Rates: Rate Change (Non Formal) RM96-1-026, Final
Rule
FORMS: 545
OMB NO: 1902-0155 EXPIRATION DATE: 12/31/2007
RESPS:77 HOURS:12,320 COSTS(000):$0
Certificated Rate Filings: Gas Pipeline Rates
FORMS: FERC-546
OMB NO: 1902-0157 EXPIRATION DATE: 01/31/2007
RESPS:85 HOURS:9,913 COSTS(000):$0
Energy Affilates of Interstate Pipelines, RMO1-10-000 Standards
of Conduct for Transmission Providers (Final Rule)
FORMS: FERC-592
OMB NO: 1902-0166 EXPIRATION DATE: 02/28/2009
RESPS:27 HOURS:51 COSTS(000):$0
Repeat of Public Utility Holding Company Act of 1935 and Enact-
ment of Public Utility Company Act of 2005, RM05-32-000 Final
Rule.
FORMS: 598
OMB NO: 1902-0168 EXPIRATION DATE: 06/30/2009
RESPS:8 HOURS:20 COSTS(000):$0
Application for Transmission Services Under Section 211 of the
Federal Power Act
FORMS: 716A
OMB NO: 1902-0169 EXPIRATION DATE: 09/30/2007
RESPS:1,166 HOURS:160,789 COSTS(000):$8,286
Gas Pipeline Rates: Capacity Reports and Index of Customers
FORMS: 549B
OMB NO: 1902-0170 EXPIRATION DATE: 06/30/2009
RESPS:8 HOURS:800 COSTS(000):$0
Good Faith Request for Transmission Service and Response by
Transmitting Utility under Section 211(a) & 213(a) of the
Federal Power Act
FORMS: 716
OMB NO: 1902-0171 EXPIRATION DATE: 03/31/2007
RESPS:183 HOURS:29,280 COSTS(000):$0
Annual Transmissiion Planning and Evaluation Report
FORMS: 715
OMB NO: 1902-0173 EXPIRATION DATE: 06/30/2009
RESPS:220 HOURS:215,695 COSTS(000):$0
Standards for Business Practices and Communication Protocols for
Public Utilities: RM05-5-000 Final Rule: Standards for Business
Practices and Communication Protocols for Public Utilities
FORMS: FERC-717
OMB NO: 1902-0174 EXPIRATION DATE: 06/30/2008
RESPS:93 HOURS:855,227 COSTS(000):$0
Standards for Business Practices of Interstate Natural Gas
Pipelines (RM96-1-26, Final Rule)
FORMS: 549C
OMB NO: 1902-0180 EXPIRATION DATE: 09/30/2008
RESPS:76 HOURS:1,064 COSTS(000):$0
Rules of Practice and Procedure: Compliant Procedures
FORMS: 600
OMB NO: 1902-0197 EXPIRATION DATE: 06/30/2008
RESPS:182 HOURS:46 COSTS(000):$0
Critical Energy Infrastructure Information Data Request
FORMS: 603
OMB NO: 1902-0203 EXPIRATION DATE: 07/31/2008
RESPS:238 HOURS:6,426 COSTS(000):$0
Standardization of Small Generator Interconnection Agreements
and Procedures, RM02-12-000 Final Rule
FORMS: 516A
OMB NO: 1902-0205 EXPIRATION DATE: 02/28/2009
RESPS:1,059 HOURS:171,011 COSTS(000):$0
Quarterly Financial Report of Electric Utilities, Licensees, and
Natural Gas Companies, Docket RM04-12-000 (Accounting and
Financial Reporting for Public Utilities Including RTOs)
FORMS: FERC-3Q
OMB NO: 1902-0206 EXPIRATION DATE: 06/30/2007
RESPS:477 HOURS:71,550 COSTS(000):$3,688
Quarterly Financial Report of Oil Pipeline Companies, Docket
RM3-8-000 (Quarterly Financial Reporting and Revisions to the
Annual Reports)
FORMS: 6Q
OMB NO: 1902-0211 EXPIRATION DATE: 06/30/2008
RESPS:220 HOURS:1,320 COSTS(000):$0
Electric Rate Schedule Filings; RMO05-5-000 NOPR: Stndards for
Business Practices and Communication Protocols for Public
Utilities
FORMS: 913 516
OMB NO: 1902-0213 EXPIRATION DATE: 04/30/2008
RESPS:1,500 HOURS:3,000 COSTS(000):$0
Advanced Metering Program Survey, Docket No. AD06-2-000
FORMS: FERC-728
OMB NO: 1902-0214 EXPIRATION DATE: 04/30/2008
RESPS:1,500 HOURS:3,000 COSTS(000):$0
Demand Responses and Time Based Rate Programs Survey, AD06-2-000
FORMS: FERC-727
OMB NO: 1902-0215 EXPIRATION DATE: 02/28/2009
RESPS:65 HOURS:520 COSTS(000):$0
Annual Report By Service Companies
FORMS: 60
OMB NO: 1902-0216 EXPIRATION DATE: 02/28/2009
RESPS:35 HOURS:35 COSTS(000):$0
Exemption Notification of Holding Company Status
FORMS: 65A
OMB NO: 1902-0217 EXPIRATION DATE: 02/28/2009
RESPS:20 HOURS:20 COSTS(000):$0
Waiver Notification of Holding Compay Status
FORMS: 65B
OMB NO: 1902-0218 EXPIRATION DATE: 02/28/2009
RESPS:110 HOURS:330 COSTS(000):$0
Notification of Holding Company Status
FORMS: 65
OMB NO: 1902-0223 EXPIRATION DATE: 07/31/2009
RESPS:1,150 HOURS:2,300 COSTS(000):$0
Public Utility Market-Bases Rate Authorization Holders (Electric
Rate Schedule Filings) RM06-14-000 Final Rule
FORMS: 915(516)
OMB NO: 1902-0224 EXPIRATION DATE: 07/31/2009
RESPS:222 HOURS:444 COSTS(000):$0
Th Unbundled Sales Service, Persons Holding Blanket Marketing
Certificates (Gas Pipeline Rates: Title II and NGA Blanke
Certificates (Non-Formal) RM06-14-000 Final Rule
FORMS: 916(549)
OMB NO: 1902-0225 EXPIRATION DATE: 06/30/2009
RESPS:1 HOURS:25,800 COSTS(000):$0
Certification of Electric Reliability Organization and
Procedures for Electric Reliability Standards, Order No. 672
(RM05-30-000 Final Rule on rehearing)
FORMS: 725
OMB NO: 1902-0226 EXPIRATION DATE: 06/30/2009
RESPS:220 HOURS:1,320 COSTS(000):$0
Electric Rate Schedule Filings: RM05-5-000 Final Rule: Standards
for Business Practices and Communication Protocols for Public
Utilities
FORMS: FERC-913 (FERC-516)
OMB NO: 1902-0231 EXPIRATION DATE: 07/31/2009
RESPS:100 HOURS:43,400 COSTS(000):$0
Cogeneration and Small Power Production, RM05-36-001 Final Rule
on rehearing, Revised Regulations for Tariff Filings
FORMS: 914(516)
AGENCY TOTALS:
ACTIVE ANNUAL ANNUAL ANNUAL
REPORTS RESPONSES HOURS COSTS($000)
69 22,699 5,787,225 $88,683
Federal Housing Finance Board
OMB NO: 3069-0001 EXPIRATION DATE: 07/31/2007
RESPS:4,308 HOURS:2,154 COSTS(000):$0
Monthly Survey of Rates and Terms on Conventional 1-Family
NonFarm Mortgage Loans (MIRS)
FORMS: FHFB-10-91
OMB NO: 3069-0002 EXPIRATION DATE: 11/30/2007
RESPS:5,010 HOURS:4,210 COSTS(000):$96
Federal Home Loan Bank Directors
FORMS: NONE
OMB NO: 3069-0003 EXPIRATION DATE: 03/31/2009
RESPS:5,170 HOURS:8,496 COSTS(000):$0
Community Support Requirements
FORMS: 96-01
OMB NO: 3069-0004 EXPIRATION DATE: 05/31/2007
RESPS:8,436 HOURS:12,346 COSTS(000):$0
Members of the Banks
FORMS: NONE
OMB NO: 3069-0005 EXPIRATION DATE: 12/31/2008
RESPS:64 HOURS:78 COSTS(000):$0
Advances to Housing Associates
FORMS: NONE
OMB NO: 3069-0006 EXPIRATION DATE: 07/31/2007
RESPS:10,749 HOURS:65,461 COSTS(000):$0
Affordable Housing Program (AHP)
FORMS: NONE
OMB NO: 3069-0058 EXPIRATION DATE: 03/31/2007
RESPS:2,400 HOURS:57,600 COSTS(000):$75
Federal Home Loan Bank Acquired Member Assets, Core Mission
Activities, Investments and Advances
FORMS: NONE
OMB NO: 3069-0059 EXPIRATION DATE: 02/28/2007
RESPS:54,000 HOURS:35,100 COSTS(000):$6,221
Capital Requirements for the Federal Home Loan Banks
FORMS: NONE
AGENCY TOTALS:
ACTIVE ANNUAL ANNUAL ANNUAL
REPORTS RESPONSES HOURS COSTS($000)
8 90,137 185,445 $6,392
Federal Maritime Commission
OMB NO: 3072-0012 EXPIRATION DATE: 09/30/2008
RESPS:50 HOURS:1,574 COSTS(000):$0
46 CFR Part 540 - Application for Certificate of Financial
Responsibility
FORMS: FMC-131
OMB NO: 3072-0018 EXPIRATION DATE: 07/31/2007
RESPS:11,215 HOURS:5,731 COSTS(000):$0
46 CFR 515- Licensing, Financial Responsibility Requirements and
General Duties for Ocean Transportation Intermediaries and
related Forms.
FORMS: FMC-18 48 48A 67 68 69 69A
OMB NO: 3072-0045 EXPIRATION DATE: 03/31/2007
RESPS:1,832 HOURS:35,770 COSTS(000):$4,819
46 CFR 535-Ocean Common Carrier and Marine Terminal Operator
Agreements Subject to the Shipping Act of 1984.
FORMS: FMC-150 FMC-151
OMB NO: 3072-0060 EXPIRATION DATE: 09/30/2008
RESPS:32 HOURS:56 COSTS(000):$0
46 CFR Part 565 - Controlled Carriers
FORMS: NONE
OMB NO: 3072-0061 EXPIRATION DATE: 09/30/2008
RESPS:168 HOURS:964 COSTS(000):$0
46 CFR 525 - Marine Terminal Operator Schedules and Related Form
FMC-1
FORMS: FMC-1
OMB NO: 3072-0064 EXPIRATION DATE: 09/30/2008
RESPS:3,500,000 HOURS:364,200 COSTS(000):$2,452
46 CFR 520 - Carrier Automated Tariff Systems and Related Form
FMC-1
FORMS: FMC-1
OMB NO: 3072-0065 EXPIRATION DATE: 09/30/2008
RESPS:525,760 HOURS:528,770 COSTS(000):$0
46 CFR 530 - Service Contracts and Related Form FMC-83
FORMS: FMC-83
OMB NO: 3072-0070 EXPIRATION DATE: 09/30/2008
RESPS:2,576,667 HOURS:190,252 COSTS(000):$0
46 CFR Part 531, NVOCC Service Arrangements
FORMS: FMC-78
AGENCY TOTALS:
ACTIVE ANNUAL ANNUAL ANNUAL
REPORTS RESPONSES HOURS COSTS($000)
8 6,615,724 1,127,317 $7,271
Federal Reserve System
OMB NO: 7100-0003 EXPIRATION DATE: 11/30/2006
RESPS:8,646 HOURS:12,342 COSTS(000):$0
Government Securities Dealers Reports
FORMS: FR-2004A FR-2004B FR-2004C FR-2004SI FR-2004SD FR-2004WI
OMB NO: 7100-0005 EXPIRATION DATE: 10/31/2008
RESPS:1,120 HOURS:352 COSTS(000):$0
Domestic Finance Company Report of Consolidated Assets and
Liabilities
FORMS: FR-2248
OMB NO: 7100-0011 EXPIRATION DATE: 03/31/2008
RESPS:833 HOURS:1,506 COSTS(000):$0
Registration Statement for Persons Who Extend Credit Secured by
Margin Stock (Other Than Banks, Brokers, or Dealers)
Deregistration Statement for persons Registered Pursuant to....
FORMS: FR-G-1 FR-G-2 FR-G-4
OMB NO: 7100-0012 EXPIRATION DATE: 03/31/2007
RESPS:117,600 HOURS:7,140 COSTS(000):$0
Money Market Mutual Fund Assets Reports
FORMS: FR-2051A FR-2051B
OMB NO: 7100-0018 EXPIRATION DATE: 03/31/2008
RESPS:5,560 HOURS:945 COSTS(000):$0
Statement of Purpose for an Extension of Credit Secured by
Margin Stock by a Person Subject to Registration Under
Regulation U
FORMS: FR-G-3
OMB NO: 7100-0019 EXPIRATION DATE: 03/31/2008
RESPS:138 HOURS:23 COSTS(000):$0
Statement of Purpose for an Extension of Credit by a Creditor
FORMS: FR-T-4
OMB NO: 7100-0030 EXPIRATION DATE: 03/31/2007
RESPS:3,640 HOURS:14,560 COSTS(000):$0
Weekly Report of Assets and Liabilities for Large U.S. Branches
and Agencies of Foreign Banks
FORMS: FR-2069
OMB NO: 7100-0032 EXPIRATION DATE: 04/30/2008
RESPS:1,100 HOURS:25,025 COSTS(000):$0
Report of Assets and Liabilities of U.S. Branches and Agencies
of Foreign Banks
FORMS: FFIEC-002
OMB NO: 7100-0034 EXPIRATION DATE: 03/31/2007
RESPS:10,472 HOURS:5,331 COSTS(000):$0
Report on Indebtedness of Executive Officers and Principal
Shareholders and their Related Interest to Correspondent Banks
FORMS: FFIEC-004
OMB NO: 7100-0035 EXPIRATION DATE: 04/30/2009
RESPS:180 HOURS:8,456 COSTS(000):$0
Country Exposure Report & Country Exposure Information Report
FORMS: FFIEC-009 FFIEC-009A
OMB NO: 7100-0036 EXPIRATION DATE: 03/31/2009
RESPS:3,676 HOURS:187,550 COSTS(000):$0
Consolidated Reports of Condition and Income
FORMS: FFIEC-031 FFIEC-041
OMB NO: 7100-0042 EXPIRATION DATE: 09/30/2008
RESPS:1,677 HOURS:840 COSTS(000):$0
Applications for Subscription to, Adjustment in Holding of, and
Cancellation of Federal Reserve Bank Stock
FORMS: FR-2030 FR-2030A FR-2056 FR-2086 FR-2086A FR-2087
OMB NO: 7100-0046 EXPIRATION DATE: 09/30/2008
RESPS:80 HOURS:320 COSTS(000):$0
Applications for Membership in the Federal Reserve System
FORMS: FR-2083 FR-2083A FR-2083B FR-2083C
OMB NO: 7100-0058 EXPIRATION DATE: 06/30/2009
RESPS:504 HOURS:1,008 COSTS(000):$0
The Senior Loan Officer Opinion Survey on Bank Lending Practices
FORMS: FR-2018
OMB NO: 7100-0061 EXPIRATION DATE: 12/31/2008
RESPS:4,860 HOURS:7,317 COSTS(000):$0
Surey of Terms of Lending
FORMS: FR-2028A FR-2028B FR-2028S
OMB NO: 7100-0069 EXPIRATION DATE: 03/31/2008
RESPS:79 HOURS:20 COSTS(000):$0
Notification of Foreign Branch Status
FORMS: FR-2058
OMB NO: 7100-0071 EXPIRATION DATE: 10/31/2006
RESPS:176 HOURS:651 COSTS(000):$0
Foreign Branch Report of Condition
FORMS: FFIEC-030
OMB NO: 7100-0073 EXPIRATION DATE: 03/31/2008
RESPS:1,175 HOURS:6,005 COSTS(000):$0
Financial Statements of Foreign Subsidiaries of U.S. Banking
Organizations and Abbreviated Financial Statements of Foreign
Subsidiaries of U.S. Banking Organizations
FORMS: FR-2314 FR-2314S
OMB NO: 7100-0075 EXPIRATION DATE: 03/31/2007
RESPS:59,800 HOURS:103,480 COSTS(000):$0
Weekly Report of Assets and Liabilities for Large Banks; Weekly
Report of Selected Assets
FORMS: FR-2416 FR-2644
OMB NO: 7100-0079 EXPIRATION DATE: 03/31/2009
RESPS:236 HOURS:826 COSTS(000):$0
Quarterly Report of Assets and Liabilities of Large Foreign
Office of U. S. Banks
FORMS: FR-2502Q
OMB NO: 7100-0085 EXPIRATION DATE: 06/30/2009
RESPS:728 HOURS:232 COSTS(000):$0
Quarterly Report of Interest Rates on Selected Direct Consumer
Installment Loans; Quarterly Report of Credit Card Plans
FORMS: FR-2835 FR-2835A
OMB NO: 7100-0086 EXPIRATION DATE: 03/31/2009
RESPS:304 HOURS:3,055 COSTS(000):$0
Consolidated Report of Condition and Income for Edge and
Agreement Corporations
FORMS: FR-2886B
OMB NO: 7100-0087 EXPIRATION DATE: 09/30/2006
RESPS:196,996 HOURS:689,486 COSTS(000):$0
Report of Transaction Accounts, Other Deposits and Vault Cash;
Report of Certain Eurocurrency Transactions
FORMS: FR-2900 FR-2950 FR-2951
OMB NO: 7100-0088 EXPIRATION DATE: 09/30/2006
RESPS:160 HOURS:40 COSTS(000):$0
Allocation of Low Reserve Tranche and Reservable Exemption
FORMS: FR-2930 FR-2930A
OMB NO: 7100-0091 EXPIRATION DATE: 06/30/2007
RESPS:272 HOURS:1,390 COSTS(000):$0
Reports Related to Securities of State Member Banks as Required
by Regulation H
FORMS: REG.-H-1
OMB NO: 7100-0097 EXPIRATION DATE: 12/31/2006
RESPS:836 HOURS:599 COSTS(000):$0
Domestic Branch Notification
FORMS: FR-4001
OMB NO: 7100-0099 EXPIRATION DATE: 04/30/2007
RESPS:16 HOURS:8 COSTS(000):$0
Transfer Agent Registration and Amendment Form
FORMS: FR-TA-1
OMB NO: 7100-0100 EXPIRATION DATE: 03/31/2007
RESPS:30 HOURS:30 COSTS(000):$0
Uniform Application for Municipal Securities Principal or
Municipal Securities Representative Associated with a Bank
Municipal Securities Dealer
FORMS: MSD-4
OMB NO: 7100-0101 EXPIRATION DATE: 03/31/2007
RESPS:70 HOURS:18 COSTS(000):$0
Univorm Termination Notice for Municipal Securities Principal or
Municipal Securities Representative Associated with a Bank
Municipal Securities Dealer
FORMS: FR-MSD-5
OMB NO: 7100-0107 EXPIRATION DATE: 04/30/2008
RESPS:56 HOURS:772 COSTS(000):$0
International Applications and Prior Notifications under
Subparts A and C of Regulation K
FORMS: FR-K-1
OMB NO: 7100-0109 EXPIRATION DATE: 06/30/2009
RESPS:160 HOURS:320 COSTS(000):$0
Recordkeeping Requirements Associated with Changes in Foreign
Investments (Made Pursuant to Regulation K)
FORMS: FR-2064
OMB NO: 7100-0112 EXPIRATION DATE: 04/30/2007
RESPS:54 HOURS:27 COSTS(000):$0
Written Security Program for State Member Banks
FORMS: FR-4004
OMB NO: 7100-0115 EXPIRATION DATE: 03/31/2008
RESPS:906,936 HOURS:154,179 COSTS(000):$0
Statement of Purpose for an Extension of Credit Secured by
Margin Stock
FORMS: FR-U-1
OMB NO: 7100-0119 EXPIRATION DATE: 09/30/2008
RESPS:9 HOURS:710 COSTS(000):$0
Application for a Foreign Organization to Acquire a U.S. Bank or
Bank Holding Company
FORMS: FR-Y-3F
OMB NO: 7100-0121 EXPIRATION DATE: 04/30/2008
RESPS:556 HOURS:19,100 COSTS(000):$0
Application for Prior Approval to Become a Bank Holding Company
or for a Bank Holding Company to Acquire an Additional Bank or
Bank Holding Company; Notice for Prior Approval to Become a....
FORMS: FR-Y-3 FR-Y-3N FR-Y-4
OMB NO: 7100-0124 EXPIRATION DATE: 03/31/2007
RESPS:5,156 HOURS:21,913 COSTS(000):$0
Annual Report of Bank Holding Companies
FORMS: FR-Y-6
OMB NO: 7100-0125 EXPIRATION DATE: 06/30/2008
RESPS:1,424 HOURS:5,384 COSTS(000):$0
Annual Report of Foreign Banking Organizations, Financial State-
ments of U.S. Nonbank Subsidiaries Held by FBOs, Abbreviated
Financial Statements of U.S. Nonbank Subsidiares Held by FBOs,...
FORMS: FR-Y-7 FR-Y-7N FR-Y-7NS FR-Y-7Q
OMB NO: 7100-0126 EXPIRATION DATE: 04/30/2009
RESPS:25,240 HOURS:53,419 COSTS(000):$0
Bank Holding Company Report of Insured Depository Institutions'
Section 23A Transactions with Affiliates
FORMS: FR-Y-8
OMB NO: 7100-0128 EXPIRATION DATE: 03/31/2008
RESPS:13,301 HOURS:183,541 COSTS(000):$0
Financial Statements for Bank Holding Companies
FORMS: FR-Y-9C FR-Y-9LP FR-Y-9SP FR-Y-9CS FR-Y-9ES
OMB NO: 7100-0129 EXPIRATION DATE: 07/31/2007
RESPS:36 HOURS:180 COSTS(000):$0
Request for Extension of Time to Dispose of Assets Acquired in
Satisfaction of Debts Previously Contracted
FORMS: FR-4006
OMB NO: 7100-0131 EXPIRATION DATE: 06/30/2007
RESPS:11 HOURS:171 COSTS(000):$0
Notice of Proposed Stock Redemption
FORMS: FR-4008
OMB NO: 7100-0134 EXPIRATION DATE: 10/31/2007
RESPS:1,091 HOURS:7,242 COSTS(000):$0
Interagency Notice of Change in Bank Control; Interagency Notice
of Change in Director or Senior Executive Officer; Interagency
Biographical and Financial Report
FORMS: FR-2081A 2081B 2081C
OMB NO: 7100-0135 EXPIRATION DATE: 08/31/2008
RESPS:512 HOURS:170 COSTS(000):$0
Consumer Satisfaction Questionnaire
FORMS: FR-1379
OMB NO: 7100-0137 EXPIRATION DATE: 06/30/2007
RESPS:3 HOURS:6 COSTS(000):$0
Notice Claiming Status as an Exempt Transfer Agent
FORMS: FR-4013
OMB NO: 7100-0139 EXPIRATION DATE: 07/31/2007
RESPS:6 HOURS:3 COSTS(000):$0
Investment in Bank Premises Notification
FORMS: FR-4014
OMB NO: 7100-0150 EXPIRATION DATE: 03/31/2008
RESPS:9,700 HOURS:658 COSTS(000):$0
Ongoing Intermittent Survey of Households
FORMS: FR-3016
OMB NO: 7100-0171 EXPIRATION DATE: 08/31/2008
RESPS:80 HOURS:2,184 COSTS(000):$0
Interagency Bank Merger Act Application
FORMS: FR-2070
OMB NO: 7100-0175 EXPIRATION DATE: 09/30/2006
RESPS:5,605 HOURS:2,803 COSTS(000):$0
Annual Report of Total Deposits and Reservable Liabilities
FORMS: FR-2910A
OMB NO: 7100-0180 EXPIRATION DATE: 06/30/2009
RESPS:1,320 HOURS:8,400 COSTS(000):$0
Request for Proposal and Request for Price Quotations
FORMS: RFP RFPQ
OMB NO: 7100-0181 EXPIRATION DATE: 12/31/2007
RESPS:2,500 HOURS:2,548 COSTS(000):$0
Application for Employment with the Board of Governors of the
Federal Reserve System
FORMS: FR-28
OMB NO: 7100-0196 EXPIRATION DATE: 10/31/2007
RESPS:3,136,644 HOURS:158,327 COSTS(000):$0
Recordkeeping and Disclosure Requirements Associated with
Securities Transactions Pursuant to Regulation H
FORMS: REG.-H-3
OMB NO: 7100-0197 EXPIRATION DATE: 12/31/2008
RESPS:914 HOURS:85,234 COSTS(000):$0
Recordkeeping, Reporting, and Disclosure Requirements in
Connection with Regulation BB (Community Reinvestment Act)
FORMS: REG-BB
OMB NO: 7100-0199 EXPIRATION DATE: 05/31/2009
RESPS:7,505,576 HOURS:618,398 COSTS(000):$0
Recordkeeping and Disclosure Requirements in Connection with
Regulation Z (Truth in Lending)
FORMS: REG.-Z
OMB NO: 7100-0200 EXPIRATION DATE: 01/31/2009
RESPS:805,860 HOURS:83,751 COSTS(000):$0
Recordkeeping and Disclosure Requirements in Connection with
Regulation E (Electronic Funds Transfer)
FORMS: REG.-E
OMB NO: 7100-0201 EXPIRATION DATE: 01/31/2009
RESPS:6,966,496 HOURS:189,540 COSTS(000):$0
Recordkeeping and Disclosure Requirements in Connection with
Regulation B (Equal Credit Opportunity)
FORMS: REGULATION-B
OMB NO: 7100-0202 EXPIRATION DATE: 11/30/2008
RESPS:32,460 HOURS:3,534 COSTS(000):$0
Recordkeeping and Disclosure Requirements in Connection with
Regulation M (Consumer Leasing)
FORMS: REGULATION-M
OMB NO: 7100-0212 EXPIRATION DATE: 06/30/2009
RESPS:93,600 HOURS:93,600 COSTS(000):$0
Suspicious Activity Report by Depository Institutions
FORMS: FR-2230
OMB NO: 7100-0213 EXPIRATION DATE: 09/30/2006
RESPS:740 HOURS:7,400 COSTS(000):$0
Country Exposure Report for U.S. Branches and Agencies of
Foreign Banks
FORMS: FFIEC-019
OMB NO: 7100-0216 EXPIRATION DATE: 04/30/2008
RESPS:42 HOURS:42 COSTS(000):$0
Annual Daylight Overdraft Capital Report for U.S. Branches and
Agencies of Foreign Banks
FORMS: FR-2225
OMB NO: 7100-0217 EXPIRATION DATE: 04/30/2008
RESPS:1,785 HOURS:1,780 COSTS(000):$0
Report of Net Debit Cap
FORMS: FR-2226
OMB NO: 7100-0223 EXPIRATION DATE: 06/30/2009
RESPS:232 HOURS:232 COSTS(000):$0
Senior Financial Officer Survey
FORMS: FR-2023
OMB NO: 7100-0224 EXPIRATION DATE: 03/31/2007
RESPS:29 HOURS:26 COSTS(000):$0
Notice By Financial Institutions of Government Securities Broker
or Government Securities Dealer Activities; Notice by Financial
Institutions of Termination of Activities as a Government.....
FORMS: FR-G-FIN FR-G-FINW
OMB NO: 7100-0232 EXPIRATION DATE: 04/30/2007
RESPS:150 HOURS:18 COSTS(000):$0
Survey to Obtain Information on the Relevant Market in
Individual Merger Cases
FORMS: FR-2060
OMB NO: 7100-0235 EXPIRATION DATE: 07/31/2007
RESPS:13,098,096 HOURS:360,951 COSTS(000):$0
Disclosure Requirements in Connection with Regulation CC to
Implement the Expedited Funds Availability Act
FORMS: REG.-CC
OMB NO: 7100-0237 EXPIRATION DATE: 09/30/2006
RESPS:428 HOURS:214 COSTS(000):$0
Report of Foreign (Non-U.S.) Currency Deposits
FORMS: FR-2915
OMB NO: 7100-0239 EXPIRATION DATE: 12/31/2008
RESPS:300 HOURS:75 COSTS(000):$0
Report of Terms of Credit Card Plans
FORMS: FR-2572
OMB NO: 7100-0244 EXPIRATION DATE: 03/31/2008
RESPS:5,434 HOURS:27,689 COSTS(000):$0
Financial Statements of U.S. Nonbank Subsidiaries of U.S. Bank
Holding Companies, and Abbreviated Financial Statements of U.S.
Nonbank Subsidiaries of U.S. Bank Holding Companies
FORMS: FR-Y-11 FR-Y-11S
OMB NO: 7100-0247 EXPIRATION DATE: 02/29/2008
RESPS:651 HOURS:150,942 COSTS(000):$0
HMDA Loan/Application Register
FORMS: FR-HMDA-LAR
OMB NO: 7100-0250 EXPIRATION DATE: 06/30/2009
RESPS:182,210 HOURS:45,553 COSTS(000):$0
Recordkeeping Requirements Associated with Real Estate Appraisal
Standards for Federally Related Transactions Pursuant to
Regulations H and Y
FORMS: FR-H-4
OMB NO: 7100-0261 EXPIRATION DATE: 03/31/2008
RESPS:3,788 HOURS:19,660 COSTS(000):$0
Recordkeeping Requirements Associated with the Real Estate
Lending Standards Regulation for State Member Banks
FORMS: REG.H-5
OMB NO: 7100-0264 EXPIRATION DATE: 06/30/2007
RESPS:239 HOURS:783 COSTS(000):$0
Notice of Branch Closure
FORMS: FR-4031
OMB NO: 7100-0271 EXPIRATION DATE: 06/30/2008
RESPS:3,362,789 HOURS:247,979 COSTS(000):$0
Recordkeeping and Disclosure Requirements in Connection with
Regulation DD (Truth in Savings)
FORMS: REGULATION-DD
OMB NO: 7100-0273 EXPIRATION DATE: 04/30/2008
RESPS:296 HOURS:1,776 COSTS(000):$0
Report of Assets and Liabilities of a Non U.S. Branch that is
Managed or Controlled by a U.S. Branch or Agency of a Foreign
(Non U.S.) Bank
FORMS: FFIEC-002S
OMB NO: 7100-0277 EXPIRATION DATE: 10/31/2008
RESPS:4,750 HOURS:1,315 COSTS(000):$0
The Quinquennial Finance Company Questionnaire and Survey
FORMS: FR-3033P/S
OMB NO: 7100-0278 EXPIRATION DATE: 09/30/2008
RESPS:31 HOURS:125 COSTS(000):$0
Notifications Related to Community Development and Public
Welfare Investments of State Member Banks
FORMS: FR-H-6
OMB NO: 7100-0279 EXPIRATION DATE: 04/30/2007
RESPS:1,500 HOURS:15,000 COSTS(000):$0
Check 21 Act Survey
FORMS: FR-3080
OMB NO: 7100-0280 EXPIRATION DATE: 12/31/2008
RESPS:2,787,330 HOURS:122,413 COSTS(000):$0
Recordkeeping and Disclosure Requirements Associated with Loans
Secured by Real Estate Located in Flood Hazard Areas Pursuant to
Section 208.25 of Regulation H
FORMS: REG.-H-2
OMB NO: 7100-0284 EXPIRATION DATE: 09/30/2008
RESPS:12 HOURS:420 COSTS(000):$0
International Applications and Prior Notifications Under Subpart
B of Regulation K
FORMS: FR-K-2
OMB NO: 7100-0286 EXPIRATION DATE: 12/31/2007
RESPS:16 HOURS:2,400 COSTS(000):$0
Semiannual Report of Derivatives Activity
FORMS: FR-2436
OMB NO: 7100-0289 EXPIRATION DATE: 07/31/2007
RESPS:2,288 HOURS:575 COSTS(000):$0
Report of Selected Balance Sheet Items for Discount Window
Borrowers
FORMS: FR-2046
OMB NO: 7100-0290 EXPIRATION DATE: 12/31/2007
RESPS:75 HOURS:200 COSTS(000):$0
Annual Salary Survey (FR 29a) and Ad hoc surveys (FR 29b)
FORMS: FR-29A FR-29B
OMB NO: 7100-0292 EXPIRATION DATE: 06/30/2007
RESPS:171 HOURS:3,142 COSTS(000):$0
Filings Related to the Gramm-Leach-Bliley Act (GLB Act)
FORMS: FR-4010 FR-4011 FR-4012 FR-4017 FR-4019
OMB NO: 7100-0294 EXPIRATION DATE: 08/31/2006
RESPS:411,875 HOURS:369,330 COSTS(000):$0
Reporting and Disclosure Requirements Associated with Regulation
P (Privacy of Consumer Financial Information)
FORMS: REG-P
OMB NO: 7100-0297 EXPIRATION DATE: 03/31/2007
RESPS:19,106 HOURS:18,004 COSTS(000):$0
Report of Changes in Organizational Structure: Report of Changes
in FBO Organizational Structure; Supplement to the Report of
Changes in Organizational Structure
FORMS: FR-Y-10 FR-Y-10F FR-Y-10S
OMB NO: 7100-0298 EXPIRATION DATE: 03/31/2007
RESPS:601,650 HOURS:15,041 COSTS(000):$0
Disclosure Requirements in Connection with Regulation H
(Consumer Protections in Sales of Insurance)
FORMS: REG-H-7
OMB NO: 7100-0299 EXPIRATION DATE: 01/31/2007
RESPS:637 HOURS:910 COSTS(000):$0
Disclosure and Reporting of CRA-Related Agreements
FORMS: REG-G
OMB NO: 7100-0300 EXPIRATION DATE: 11/30/2007
RESPS:114 HOURS:1,824 COSTS(000):$0
Consolidated Bank Bolding Company Report of Equity Investments
in Nonfinancial Companies
FORMS: FR-Y-12
OMB NO: 7100-0301 EXPIRATION DATE: 12/31/2007
RESPS:2,430 HOURS:814 COSTS(000):$0
Studies of Board Publications
FORMS: FR-1373-A FR-1373-B
OMB NO: 7100-0302 EXPIRATION DATE: 02/29/2008
RESPS:500 HOURS:125 COSTS(000):$0
Intermittent Survey of Businesses
FORMS: FR-1374
OMB NO: 7100-0304 EXPIRATION DATE: 05/31/2009
RESPS:45 HOURS:250 COSTS(000):$0
Notice Requirements in Connection with Regulation W (12 CFR
Parts 223 Transactions Between Member Banks and Their Affiliates)
FORMS: REG.-W
OMB NO: 7100-0305 EXPIRATION DATE: 04/30/2007
RESPS:180 HOURS:12,675 COSTS(000):$0
Proposed Polcy to Increase Depository Instsitution Recirculation
of Currency
FORMS: 4101
OMB NO: 7100-0306 EXPIRATION DATE: 05/31/2007
RESPS:5 HOURS:10 COSTS(000):$0
Regulation Y/BHC - Change in Bank Control
FORMS: FR-4021
OMB NO: 7100-0307 EXPIRATION DATE: 06/30/2007
RESPS:8,000 HOURS:2,640 COSTS(000):$0
Survey of Financial Management Behaviors of Military Personnel
FORMS: FR-1375
OMB NO: 7100-0308 EXPIRATION DATE: 08/31/2007
RESPS:30,000 HOURS:240,000 COSTS(000):$0
Disclosure Requirements Associated with Regulation V
FORMS: REG.-V
OMB NO: 7100-0309 EXPIRATION DATE: 06/30/2008
RESPS:6,792 HOURS:163,798 COSTS(000):$0
Recordkeeping and Disclosure Requirements Associated with the
Guidance on Response Programs for Unauthorized Access to
Customer Information
FORMS: FR-4100
OMB NO: 7100-0310 EXPIRATION DATE: 03/31/2009
RESPS:520 HOURS:8,320 COSTS(000):$0
Recordkeeping Requirements Associated with Parts 211.5 and
211.24 of Regulation K
FORMS: REG-K
OMB NO: 7100-0311 EXPIRATION DATE: 05/31/2009
RESPS:20 HOURS:500 COSTS(000):$0
Recordkeeping Requirements Associated with the Interagency
Statement on Complex Structured Finance Activities
FORMS: FR-4022
OMB NO: 7100-0312 EXPIRATION DATE: 05/31/2009
RESPS:7,200 HOURS:25,434 COSTS(000):$0
Studies to Develop and Test Consumer regulatory Disclosures
FORMS: FR-1380
AGENCY TOTALS:
ACTIVE ANNUAL ANNUAL ANNUAL
REPORTS RESPONSES HOURS COSTS($000)
98 40,478,726 4,645,054 $0
Federal Trade Commission
OMB NO: 3084-0005 EXPIRATION DATE: 05/31/2007
RESPS:2,123 HOURS:84,020 COSTS(000):$0
Hart-Scott-Rodino (Premerger notification) Rules and Report Form
FORMS: C-4
OMB NO: 3084-0025 EXPIRATION DATE: 07/31/2008
RESPS:378,000 HOURS:169,000 COSTS(000):$1,228
The Funeral Rule
FORMS: NONE
OMB NO: 3084-0047 EXPIRATION DATE: 10/31/2008
RESPS:1,487,000 HOURS:139,000 COSTS(000):$0
FTC Administrative Activities
FORMS: NONE
OMB NO: 3084-0068 EXPIRATION DATE: 01/31/2009
RESPS:219,000 HOURS:40,000 COSTS(000):$84
The Fuel Rating Rule
FORMS: NONE
OMB NO: 3084-0069 EXPIRATION DATE: 12/31/2007
RESPS:5,000 HOURS:467,000 COSTS(000):$3,519
The Appliance Labeling Rule
FORMS: NONE
OMB NO: 3084-0082 EXPIRATION DATE: 09/30/2007
RESPS:17 HOURS:1,000 COSTS(000):$0
Regulations Under the Comprehensive Smokeless Tobacco Health
Education Act of 1986.
FORMS: NONE
OMB NO: 3084-0085 EXPIRATION DATE: 03/31/2009
RESPS:6,392,500,000 HOURS:3,580,000 COSTS(000):$0
Regulation E (Electronic Fund Transfers)
FORMS: NONE
OMB NO: 3084-0086 EXPIRATION DATE: 03/31/2009
RESPS:4,500,000 HOURS:292,000 COSTS(000):$0
Regulation M (Consumer Leasing)
FORMS: NONE
OMB NO: 3084-0087 EXPIRATION DATE: 03/31/2009
RESPS:339,125,000 HOURS:3,689,000 COSTS(000):$0
Regulation B (Equal Credit Opportunity)
FORMS: NONE
OMB NO: 3084-0088 EXPIRATION DATE: 03/31/2009
RESPS:5,421,100,000 HOURS:17,639,000 COSTS(000):$0
Regulation Z (Truth In Lending)
FORMS: NONE
OMB NO: 3084-0094 EXPIRATION DATE: 11/30/2006
RESPS:32,786 HOURS:2,100 COSTS(000):$12
The Alternative Fuel Rule
FORMS: NONE
OMB NO: 3084-0097 EXPIRATION DATE: 07/31/2009
RESPS:2,500,000,000 HOURS:2,500,000 COSTS(000):$12,575
Telemarketing Sales Rule
FORMS: NONE
OMB NO: 3084-0099 EXPIRATION DATE: 02/28/2009
RESPS:3,000,000 HOURS:168,000 COSTS(000):$0
The Fur Act Regulations (The Fur Products Labeling Act)
FORMS: NONE
OMB NO: 3084-0100 EXPIRATION DATE: 02/28/2009
RESPS:500,000,000 HOURS:407,000 COSTS(000):$0
The Wool Act Regulations (The Wood Products Labeling Act)
FORMS: NONE
OMB NO: 3084-0101 EXPIRATION DATE: 02/28/2009
RESPS:19,900,000,000 HOURS:8,011,000 COSTS(000):$0
The Textile Act Regulations (Textile Fiber Products
Identification Act)
FORMS: NONE
OMB NO: 3084-0102 EXPIRATION DATE: 04/30/2009
RESPS:7,681,000 HOURS:4,401,000 COSTS(000):$0
Trade Reg. Rule Concerning Pay-Per-Call Services and Other
Telephone-Billed Purchases (Pay-Per-Call Rule)
FORMS: NONE
OMB NO: 3084-0103 EXPIRATION DATE: 02/28/2009
RESPS:17,400,000,000 HOURS:6,889,000 COSTS(000):$0
The Care Labeling Rule
FORMS: NONE
OMB NO: 3084-0104 EXPIRATION DATE: 10/31/2008
RESPS:2,340 HOURS:15,000 COSTS(000):$0
Use of Prenotification Negative Option Plans ("Negative Option
Rule")
FORMS: NONE
OMB NO: 3084-0105 EXPIRATION DATE: 10/31/2008
RESPS:600 HOURS:450 COSTS(000):$0
Power Output Claims for Amplifiers Utilized in Home
Entertainment Products ("Amplifier Rule")
FORMS: NONE
OMB NO: 3084-0106 EXPIRATION DATE: 01/31/2007
RESPS:55,400 HOURS:3,094,000 COSTS(000):$0
The Mail or Telephone Order Merchandise Rule
FORMS: NONE
OMB NO: 3084-0107 EXPIRATION DATE: 10/31/2008
RESPS:500,000 HOURS:37,000 COSTS(000):$12,027
Disclosure Requirements for Franchising and Business Opportunity
Ventures ("Francishe Rule")
FORMS: NONE
OMB NO: 3084-0108 EXPIRATION DATE: 12/31/2007
RESPS:30,000,000 HOURS:2,012,250 COSTS(000):$9,000
The Used Car Rule
FORMS: NONE
OMB NO: 3084-0109 EXPIRATION DATE: 10/31/2008
RESPS:1,857,265 HOURS:121,000 COSTS(000):$0
Labeling and Advertising of Home Insulation ("R-Value") Rule
FORMS: NONE
OMB NO: 3084-0110 EXPIRATION DATE: 02/28/2009
RESPS:653,397 HOURS:6,534,000 COSTS(000):$0
Regulations Under Section 4 of the Fair Packaging and Labeiling
Act (FPLA)
FORMS: NONE
OMB NO: 3084-0111 EXPIRATION DATE: 11/30/2007
RESPS:4,241 HOURS:34,000 COSTS(000):$0
The Consumer Product Warranty Rule
FORMS: NONE
OMB NO: 3084-0112 EXPIRATION DATE: 12/31/2007
RESPS:432,893 HOURS:2,760,000 COSTS(000):$0
The Pre-Sale Availability Rule
FORMS: NONE
OMB NO: 3084-0113 EXPIRATION DATE: 12/31/2007
RESPS:65,262 HOURS:30,000 COSTS(000):$300
The Informal Dispute Settlement Procedures Rule
FORMS: NONE
OMB NO: 3084-0117 EXPIRATION DATE: 07/31/2008
RESPS:30 HOURS:2,000 COSTS(000):$0
The Children's Online Privacy Protection Rule
FORMS: NONE
OMB NO: 3084-0120 EXPIRATION DATE: 07/31/2007
RESPS:9,100 HOURS:568 COSTS(000):$0
Survey on the Marketing of Violent Entertainment to Children in
the Electronic Game Industry
FORMS: NONE
OMB NO: 3084-0121 EXPIRATION DATE: 07/31/2008
RESPS:76,000 HOURS:2,000,000 COSTS(000):$0
Privacy of Consumer Financial Information (Gramm-Leach-Bliley
Act Privacy Rule
FORMS: NONE
OMB NO: 3084-0124 EXPIRATION DATE: 02/28/2009
RESPS:4,900 HOURS:416 COSTS(000):$0
Identity Theft Survey
FORMS: NONE
OMB NO: 3084-0125 EXPIRATION DATE: 11/30/2008
RESPS:3,700 HOURS:950 COSTS(000):$0
Consumer Fraud Survey
FORMS: NONE
OMB NO: 3084-0126 EXPIRATION DATE: 12/31/2006
RESPS:800 HOURS:417 COSTS(000):$0
Survey of Consumers on Mortgage Disclosures
FORMS: NONE
OMB NO: 3084-0127 EXPIRATION DATE: 04/30/2007
RESPS:39,600,000 HOURS:900,000 COSTS(000):$0
Contact Lens Rule
FORMS: NONE
OMB NO: 3084-0128 EXPIRATION DATE: 04/30/2007
RESPS:16,600,000 HOURS:198,960 COSTS(000):$0
Free Annual File Disclosures Rule
FORMS: NONE
OMB NO: 3084-0129 EXPIRATION DATE: 06/30/2007
RESPS:1,529,000 HOURS:459,000 COSTS(000):$0
Rulemaking on Definitions of Identity Theft and Identity Theft
Report
FORMS: NONE
OMB NO: 3084-0130 EXPIRATION DATE: 09/30/2007
RESPS:13,500 HOURS:4,000 COSTS(000):$0
FTC Surveys of Consumers Relating to FACT Act of 2003
FORMS: NONE
OMB NO: 3084-0131 EXPIRATION DATE: 07/31/2007
RESPS:241,000 HOURS:2,715,000 COSTS(000):$0
Fact Act Affiliate Marketing Rule
FORMS: NONE
OMB NO: 3084-0132 EXPIRATION DATE: 11/30/2007
RESPS:700 HOURS:46,000 COSTS(000):$0
Prescreen Opt-Out Disclosure Rule
FORMS: NONE
OMB NO: 3084-0133 EXPIRATION DATE: 12/31/2006
RESPS:35 HOURS:200 COSTS(000):$0
Pilot Study for Potential FACT Act Accuracy Study
FORMS: NONE
OMB NO: 3084-0134 EXPIRATION DATE: 01/31/2009
RESPS:15 HOURS:2,100 COSTS(000):$0
FTC Cigarette and Smokeless Tobacco Data Collection
FORMS: NONE
AGENCY TOTALS:
ACTIVE ANNUAL ANNUAL ANNUAL
REPORTS RESPONSES HOURS COSTS($000)
41 52,561,680,104 69,445,431 $38,745
National Credit Union Administration
OMB NO: 3133-0004 EXPIRATION DATE: 12/31/2008
RESPS:35,484 HOURS:234,194 COSTS(000):$5,548
Revisions to NCUA Call Reports
FORMS: NCUA-5300
OMB NO: 3133-0024 EXPIRATION DATE: 10/31/2007
RESPS:303 HOURS:7,530 COSTS(000):$212
Mergers of Federal-Insured Credit Unions
FORMS: NONE
OMB NO: 3133-0033 EXPIRATION DATE: 02/28/2007
RESPS:9,719 HOURS:190,560 COSTS(000):$0
12 CFR S748.0 Security Program and Appendix B
FORMS: NONE
OMB NO: 3133-0040 EXPIRATION DATE: 07/31/2007
RESPS:25 HOURS:325 COSTS(000):$0
Federal Credit Union Ownership of Fixed Assets
FORMS: NONE
OMB NO: 3133-0052 EXPIRATION DATE: 09/30/2007
RESPS:1,433 HOURS:1,433 COSTS(000):$0
Federal Credit Union Membership Applications and Denials
FORMS: NONE
OMB NO: 3133-0053 EXPIRATION DATE: 03/31/2009
RESPS:8,871 HOURS:8,871 COSTS(000):$0
Report of Officials
FORMS: NCUA-4501
OMB NO: 3133-0058 EXPIRATION DATE: 09/30/2007
RESPS:137,568 HOURS:45,856 COSTS(000):$770,839
Credit Committee Records
FORMS: NONE
OMB NO: 3133-0059 EXPIRATION DATE: 04/30/2008
RESPS:17,556 HOURS:17,556 COSTS(000):$60,257
Part 715, NCUA Rules and Regulations
FORMS: NONE
OMB NO: 3133-0061 EXPIRATION DATE: 03/31/2008
RESPS:40 HOURS:115 COSTS(000):$0
Central Liquidity Facility Repayment Agreement, Regular Member
FORMS: CLF-8703
OMB NO: 3133-0063 EXPIRATION DATE: 03/31/2008
RESPS:25 HOURS:12 COSTS(000):$0
Central Liquidity Facility Regular Member Membership Application
FORMS: CLF-8702
OMB NO: 3133-0064 EXPIRATION DATE: 03/31/2008
RESPS:25 HOURS:25 COSTS(000):$0
Forms and Instructions for Central Liquidity Facility Loans
FORMS: NCUA-7000 7001 7002 7003 7004
OMB NO: 3133-0067 EXPIRATION DATE: 02/28/2007
RESPS:396 HOURS:792 COSTS(000):$0
Corporate Credit Union Monthly Call Report
FORMS: NCUA-5310
OMB NO: 3133-0094 EXPIRATION DATE: 07/31/2009
RESPS:2,961 HOURS:1,480 COSTS(000):$0
Suspicious Activity Report
FORMS: 2362
OMB NO: 3133-0101 EXPIRATION DATE: 10/31/2007
RESPS:1,900 HOURS:8,020 COSTS(000):$0
12 C.F.R. Sections 723.5 - Develop written policies; 723.11 -
Waiver requests; 723.16 - Application for approval
FORMS: NONE
OMB NO: 3133-0108 EXPIRATION DATE: 10/31/2006
RESPS:9,562 HOURS:28,791 COSTS(000):$0
Monitoring Bank Secrecy Act Compliance
FORMS: NONE
OMB NO: 3133-0114 EXPIRATION DATE: 09/30/2007
RESPS:20 HOURS:40 COSTS(000):$0
Payments on Shares by Public Units and Nonmembers
FORMS: NONE
OMB NO: 3133-0116 EXPIRATION DATE: 07/31/2008
RESPS:50 HOURS:200 COSTS(000):$0
12 U.S.C. 1771 - Conversion from Federal to State Credit Union
and from State to Federal Credit Union, 12 U.S.C. 1781 -
Insurance of Member Accounts - Eligibility
FORMS: 9600 4401 4221 4505 4506
OMB NO: 3133-0117 EXPIRATION DATE: 09/30/2007
RESPS:15 HOURS:225 COSTS(000):$3,600
Designation of Low Income Status
FORMS: NONE
OMB NO: 3133-0121 EXPIRATION DATE: 09/30/2006
RESPS:589 HOURS:1,178 COSTS(000):$0
Notice of Change of Officials and Senior Executive Officers
FORMS: NONE
OMB NO: 3133-0130 EXPIRATION DATE: 09/30/2007
RESPS:5,732 HOURS:2,879 COSTS(000):$0
Written Reimbursement Policy
FORMS: NONE
OMB NO: 3133-0133 EXPIRATION DATE: 09/30/2007
RESPS:5,732 HOURS:264,529 COSTS(000):$0
12 C.F.R. 703 Investment and Deposit Activities
FORMS: NONE
OMB NO: 3133-0134 EXPIRATION DATE: 12/31/2008
RESPS:9,128 HOURS:12,076,057 COSTS(000):$0
Truth in Savings
FORMS: NONE
OMB NO: 3133-0135 EXPIRATION DATE: 09/30/2006
RESPS:1 HOURS:62 COSTS(000):$0
National Credit Union Administration Authorization Agreement for
Electronic Funds Transfers Payments
FORMS: NONE
OMB NO: 3133-0137 EXPIRATION DATE: 09/30/2007
RESPS:116 HOURS:116 COSTS(000):$0
Community Development Revolving Loan Program for Credit Unions
Application for Technical Assistance
FORMS: NONE
OMB NO: 3133-0139 EXPIRATION DATE: 09/30/2006
RESPS:2,000 HOURS:5,000 COSTS(000):$0
Organization and Operations of Federal Credit Unions
FORMS: NONE
OMB NO: 3133-0143 EXPIRATION DATE: 03/31/2009
RESPS:1,560,000 HOURS:154,850 COSTS(000):$0
Loans in Areas Having Special Flood Hazards
FORMS: NONE
OMB NO: 3133-0144 EXPIRATION DATE: 09/30/2006
RESPS:6,023 HOURS:502 COSTS(000):$0
Examination Survey
FORMS: NONE
OMB NO: 3133-0146 EXPIRATION DATE: 09/30/2007
RESPS:36 HOURS:72 COSTS(000):$0
Production of Nonpublic Records and Testimony of Employees in
Legal Proceedings
FORMS: NONE
OMB NO: 3133-0149 EXPIRATION DATE: 05/31/2008
RESPS:27 HOURS:560 COSTS(000):$0
12 C.F.R. Part 712, Credit Union Service Organizations (CUSO's)
FORMS: NONE
OMB NO: 3133-0151 EXPIRATION DATE: 09/30/2007
RESPS:380 HOURS:760 COSTS(000):$13,300
Leasing - Statistical Documentation Requried for a Guarantor of
a Residual Value - Part 714 (12 CFR Part 714)
FORMS: NONE
OMB NO: 3133-0152 EXPIRATION DATE: 09/30/2007
RESPS:1 HOURS:3 COSTS(000):$0
Management Official Interlocks Part 711
FORMS: NONE
OMB NO: 3133-0153 EXPIRATION DATE: 10/31/2007
RESPS:5 HOURS:115 COSTS(000):$0
Part 708a, Charter conversions - documentation required for
credit union members and National Credit Union Administration in
the charter conversion context
FORMS: NONE
OMB NO: 3133-0155 EXPIRATION DATE: 04/30/2007
RESPS:231 HOURS:92 COSTS(000):$0
Central Liquidity Facility Group/Agent Membership and Loan
Activity Forms
FORMS: CLF-8700 CLF-8705 CLF-8706 NCUA-7005 CLF-10
OMB NO: 3133-0166 EXPIRATION DATE: 05/31/2008
RESPS:993,175 HOURS:82,765 COSTS(000):$0
HMDA Requirements Under 12 U.S.C. 2801-2810 and Regulation C 12
CFR 203
FORMS: NONE
OMB NO: 3133-0167 EXPIRATION DATE: 02/28/2007
RESPS:10 HOURS:160 COSTS(000):$0
Part 741.11 of NCUA's Rules and Regulations, Foreign Branching
FORMS: NONE
OMB NO: 3133-0168 EXPIRATION DATE: 03/31/2007
RESPS:2 HOURS:16 COSTS(000):$0
Maximum Borrowing Authority
FORMS: NONE
OMB NO: 3133-0169 EXPIRATION DATE: 10/31/2008
RESPS:5 HOURS:5 COSTS(000):$0
Purchase of Assets and Assumptions of Liabilities
FORMS: NONE
OMB NO: 3133-0170 EXPIRATION DATE: 10/31/2008
RESPS:5 HOURS:5 COSTS(000):$0
12 CFR Part 713, Fidelity Bond and Insurance Coverage for
Federal Credit Unions
FORMS: NONE
OMB NO: 3133-0171 EXPIRATION DATE: 03/31/2009
RESPS:15 HOURS:750 COSTS(000):$0
Third Party Servicing of Indirect Vehicle Loans, 12 CFR 701.21(h)
FORMS: NONE
OMB NO: 3133-0172 EXPIRATION DATE: 08/31/2006
RESPS:481 HOURS:481 COSTS(000):$0
Member Service Assessment
FORMS: NONE
AGENCY TOTALS:
ACTIVE ANNUAL ANNUAL ANNUAL
REPORTS RESPONSES HOURS COSTS($000)
40 2,809,647 13,136,982 $853,756
National Labor Relations Board
OMB NO: 3142-0001 EXPIRATION DATE: 05/31/2007
RESPS:500 HOURS:250 COSTS(000):$0
Supplemental Statement Application for Professional Position in
the Office of General Counsel
FORMS: 4560
AGENCY TOTALS:
ACTIVE ANNUAL ANNUAL ANNUAL
REPORTS RESPONSES HOURS COSTS($000)
1 500 250 $0
Nuclear Regulatory Commission
OMB NO: 3150-0001 EXPIRATION DATE: 08/31/2008
RESPS:3,182 HOURS:136,191 COSTS(000):$7
10 CFR Part 32, Specific Domestic Licenses to Manufacture or
Transfer Certain Items Containing Byproduct Material
FORMS: NONE
OMB NO: 3150-0002 EXPIRATION DATE: 04/30/2008
RESPS:78,478 HOURS:524,820 COSTS(000):$30
10 CFR 73, Physical Protection of Plants and Materials
FORMS: NONE
OMB NO: 3150-0003 EXPIRATION DATE: 04/30/2008
RESPS:36,650 HOURS:45,813 COSTS(000):$0
DOE/NRC Form 741 (Nuclear Material Transaction Report) and
NUREG/ BR-0006, Revision 6, Instructions for Completing Nuclear
Material Transaction Report
FORMS: 741
OMB NO: 3150-0004 EXPIRATION DATE: 08/31/2006
RESPS:200 HOURS:1,000 COSTS(000):$0
DOE/NRC Form 742, Material Balance Report and NUREG/BR-0007,
Instructions for Preparation and Distribution of Material Status
Report
FORMS: 742
OMB NO: 3150-0005 EXPIRATION DATE: 09/30/2007
RESPS:24,352 HOURS:12,176 COSTS(000):$0
NRC Form 4, Cumulative Occupational Exposure History
FORMS: NRC-FORM-4
OMB NO: 3150-0006 EXPIRATION DATE: 09/30/2007
RESPS:175,456 HOURS:67,460 COSTS(000):$0
NRC Form 5, Occupational Exposure Record for a Monitoring Period
FORMS: NRC-FORM-5
OMB NO: 3150-0007 EXPIRATION DATE: 10/31/2007
RESPS:580 HOURS:244,048 COSTS(000):$15
10 CR Part 34, Licenses for Radiography and Radiation Safety
Requirements for Radiographic Operations
FORMS: NONE
OMB NO: 3150-0008 EXPIRATION DATE: 11/30/2006
RESPS:633 HOURS:42,897 COSTS(000):$0
10 CFR part 71, Packing and Transportation of Radioactive
Material
FORMS: NONE
OMB NO: 3150-0009 EXPIRATION DATE: 09/30/2007
RESPS:1,256 HOURS:89,465 COSTS(000):$0
10 CFR 70, Domestic Licensing of Special Nuclear Material
FORMS: NONE
OMB NO: 3150-0010 EXPIRATION DATE: 09/30/2007
RESPS:244,086 HOURS:1,113,217 COSTS(000):$67
10 CFR 35, Medical Use of Byproduct Material
FORMS: NONE
OMB NO: 3150-0011 EXPIRATION DATE: 02/28/2007
RESPS:7,124 HOURS:5,317,017 COSTS(000):$212
10 CFR Part 50, Domestic Licensing of Production and Utilization
Facilities
FORMS: NONE
OMB NO: 3150-0012 EXPIRATION DATE: 08/31/2006
RESPS:204 HOURS:53,680 COSTS(000):$0
Reports Concerning Possible Non-Routine Emergency Generic Problem
FORMS: NONE
OMB NO: 3150-0013 EXPIRATION DATE: 08/31/2008
RESPS:3,963 HOURS:1,033 COSTS(000):$0
Report of Proposed Activities in Non-Agreement States
FORMS: 241
OMB NO: 3150-0014 EXPIRATION DATE: 08/31/2008
RESPS:7,269 HOURS:134,069 COSTS(000):$8
10 CFR 20, Standards for Protection Aganist Radiation
FORMS: NONE
OMB NO: 3150-0015 EXPIRATION DATE: 10/31/2008
RESPS:1 HOURS:1 COSTS(000):$0
10 CFR Part 33, Specific Domestic Licenses of Broad Scope for
ByProduct Material
FORMS: NONE
OMB NO: 3150-0016 EXPIRATION DATE: 08/31/2008
RESPS:51,205 HOURS:15,118 COSTS(000):$1
10 CFR Part 31, General Domestic Licenses for Byproduct Material
FORMS: NONE
OMB NO: 3150-0017 EXPIRATION DATE: 04/30/2009
RESPS:35,178 HOURS:248,034 COSTS(000):$2
10 CFR 30, Rules of General Applicability to Domestic Licensing
of Byproduct Material
FORMS: NONE
OMB NO: 3150-0018 EXPIRATION DATE: 06/30/2009
RESPS:343 HOURS:67,060 COSTS(000):$11
10 CFR Part 55, Operators' Licenses
FORMS: NONE
OMB NO: 3150-0020 EXPIRATION DATE: 08/31/2006
RESPS:956 HOURS:60,005 COSTS(000):$0
10 CFR 40, Domestic Licensing of Source Material; and NRC Form
484, Detection Monitoring Data Report
FORMS: 484
OMB NO: 3150-0021 EXPIRATION DATE: 05/31/2009
RESPS:28 HOURS:113,596 COSTS(000):$0
10 CFR Part 51, Environmental Protection Regulations for
Domestice Licensing and Related Regulatory
FORMS: NONE
OMB NO: 3150-0024 EXPIRATION DATE: 12/31/2008
RESPS:1,287 HOURS:758 COSTS(000):$0
NRC Form 396, Certification of Medical Examination by Facility
Licensee
FORMS: 396
OMB NO: 3150-0026 EXPIRATION DATE: 08/31/2008
RESPS:60 HOURS:12 COSTS(000):$0
NRC Form 354, Data Report on Spouse
FORMS: NRC-354
OMB NO: 3150-0027 EXPIRATION DATE: 06/30/2009
RESPS:319 HOURS:788 COSTS(000):$0
Appication for NRC Export/Impordt License, Amendment or Renewal
FORMS: NRC-7
OMB NO: 3150-0028 EXPIRATION DATE: 06/30/2007
RESPS:310 HOURS:155 COSTS(000):$0
Certificate of Disposition of Materials
FORMS: 314
OMB NO: 3150-0029 EXPIRATION DATE: 06/30/2007
RESPS:138 HOURS:1,035 COSTS(000):$0
Requests to Agreement States for Information
FORMS: NONE
OMB NO: 3150-0031 EXPIRATION DATE: 08/31/2006
RESPS:60 HOURS:60 COSTS(000):$0
NRC Form 244, Registeration Certificate - Use of Depleted
uranium Under General License
FORMS: 244
OMB NO: 3150-0032 EXPIRATION DATE: 08/31/2006
RESPS:12 HOURS:35 COSTS(000):$0
10 CFR Part 150 Exemptions and Continued Regulatory Authority in
Agreement States and in Offshore Waters Under Section 274
FORMS: NONE
OMB NO: 3150-0033 EXPIRATION DATE: 08/31/2007
RESPS:1,200 HOURS:300 COSTS(000):$0
NRC Form 212, Qualifications Investigation, Professional,
Technical, and Administrative Positions, (other than clerical
positions)
FORMS: 212
OMB NO: 3150-0034 EXPIRATION DATE: 08/31/2007
RESPS:400 HOURS:100 COSTS(000):$0
NRC Form 212A, Qualifications Investigation, Secretarial/Clerical
FORMS: 212A
OMB NO: 3150-0035 EXPIRATION DATE: 10/31/2007
RESPS:108 HOURS:7,790 COSTS(000):$0
10 CFR Part 21, Reporting of Defects and Noncompliance
FORMS: NONE
OMB NO: 3150-0036 EXPIRATION DATE: 08/31/2006
RESPS:1,204 HOURS:754 COSTS(000):$0
10 CFR Part 110, Export and Import of Nuclear Equipment and
Radioactive Material
FORMS: NONE
OMB NO: 3150-0038 EXPIRATION DATE: 11/30/2008
RESPS:364 HOURS:42 COSTS(000):$0
Registration Certificate-In Vitro Testing with ByProduct
Material Under General License
FORMS: NRC-483
OMB NO: 3150-0039 EXPIRATION DATE: 08/31/2006
RESPS:156 HOURS:1,382 COSTS(000):$0
10 CFR Part 140, Finanical Protection Requirements and Indemnity
Agreements
FORMS: NONE
OMB NO: 3150-0043 EXPIRATION DATE: 10/31/2008
RESPS:7,987 HOURS:2,120 COSTS(000):$0
10 CFR 9l Public Records and NRC Form 509
FORMS: 509
OMB NO: 3150-0044 EXPIRATION DATE: 09/30/2007
RESPS:4,906 HOURS:35,674 COSTS(000):$2
10 CFR 19, Notices, Instructions, and Reports to Workers:
Inspection and Investigations
FORMS: NONE
OMB NO: 3150-0046 EXPIRATION DATE: 05/31/2007
RESPS:1,594 HOURS:417 COSTS(000):$0
10 CFR 25, Access Authorization for Licensee Personnel
FORMS: NONE
OMB NO: 3150-0047 EXPIRATION DATE: 05/31/2007
RESPS:270 HOURS:782 COSTS(000):$0
10 CFR 95, Facility Security Clearance and Safeguarding of
National Security Information and Restricted Data
FORMS: NONE
OMB NO: 3150-0049 EXPIRATION DATE: 06/30/2007
RESPS:225 HOURS:23 COSTS(000):$0
NRC Form 136, Security Termination Statement
FORMS: 136
OMB NO: 3150-0050 EXPIRATION DATE: 06/30/2007
RESPS:420 HOURS:84 COSTS(000):$0
NRC Form 237, Request for Access Authorization
FORMS: 237
OMB NO: 3150-0051 EXPIRATION DATE: 06/30/2007
RESPS:6 HOURS:1 COSTS(000):$0
NRC Form 277, Request for Visit or Access Approval
FORMS: 277
OMB NO: 3150-0052 EXPIRATION DATE: 10/31/2006
RESPS:600 HOURS:40 COSTS(000):$0
NRC Form 790, Classification Record
FORMS: 790
OMB NO: 3150-0053 EXPIRATION DATE: 08/31/2007
RESPS:108 HOURS:432 COSTS(000):$0
10 CFR 4, Nondiscrimination in Federally Assisted Commission
Programs
FORMS: NONE
OMB NO: 3150-0055 EXPIRATION DATE: 06/30/2008
RESPS:8 HOURS:2,800 COSTS(000):$0
10 CFR Part 75 - Safeguards on Nuclear Material, Implementation
of US/IAEA Agreement
FORMS: NONE
OMB NO: 3150-0056 EXPIRATION DATE: 06/30/2008
RESPS:1 HOURS:360 COSTS(000):$0
Design Information Questionnaire - IAEA N-71, and associated
Forms N-72, N-73, N-74, N-75, N-91, N-92, N-93, N-94
FORMS: N-71 N-72 N-73 N-74 N-75 N-91 N-92 N-93 N-94
OMB NO: 3150-0057 EXPIRATION DATE: 04/30/2008
RESPS:150 HOURS:113 COSTS(000):$0
DOE/NRC Form 740M, Concise Note, and NUREG/BR-0006, Revision 6,
Instructions for Completing Nuclear Material Transaction
Reports, (DOE/NRC form 741 and 740M)
FORMS: 740M
OMB NO: 3150-0058 EXPIRATION DATE: 08/31/2006
RESPS:180 HOURS:1,080 COSTS(000):$0
DOE/NRC Form 742C, Physical Inventory Listing
FORMS: 742C
OMB NO: 3150-0062 EXPIRATION DATE: 06/30/2007
RESPS:5 HOURS:1 COSTS(000):$0
10 CFR 11, Criteria and Procedures for Determining Eligibility
for Access to or Control Over Special Nuclear Material
FORMS: NONE
OMB NO: 3150-0066 EXPIRATION DATE: 11/30/2006
RESPS:15,800 HOURS:1,883 COSTS(000):$0
NRC Form 171, "Duplication Request"
FORMS: NRC-171
OMB NO: 3150-0090 EXPIRATION DATE: 10/31/2006
RESPS:1,155 HOURS:2,090 COSTS(000):$0
NRC Form 398, Personal Qualification Statement-Licensee
FORMS: 398
OMB NO: 3150-0093 EXPIRATION DATE: 07/31/2008
RESPS:2 HOURS:8,711 COSTS(000):$0
10 CFR Part 100, Reactor Site Criteria
FORMS: NONE
OMB NO: 3150-0104 EXPIRATION DATE: 06/30/2007
RESPS:400 HOURS:20,000 COSTS(000):$0
NRC Form 366, Licensee Event Report
FORMS: 366 366A 366B
OMB NO: 3150-0107 EXPIRATION DATE: 08/31/2008
RESPS:148 HOURS:1,160 COSTS(000):$0
Grant and Cooperative Agreement Provisions
FORMS: NONE
OMB NO: 3150-0109 EXPIRATION DATE: 05/31/2009
RESPS:2,140 HOURS:1,070 COSTS(000):$0
Billing Instructions for NRC Cost Type Contracts
FORMS: NONE
OMB NO: 3150-0114 EXPIRATION DATE: 08/31/2008
RESPS:100 HOURS:200 COSTS(000):$0
NRC Form 450, General Assignment
FORMS: 450
OMB NO: 3150-0120 EXPIRATION DATE: 10/31/2008
RESPS:15,914 HOURS:70,022 COSTS(000):$7
NRC Form 313, Application for Material License, NRC Form 313A,
Medical use Training and Experience and Preceptor Attestation.
FORMS: NRC-313 NRC-313A
OMB NO: 3150-0121 EXPIRATION DATE: 06/30/2008
RESPS:1 HOURS:1 COSTS(000):$0
10 CFR 81, "Standard Specification for the Granting of Patent
Licenses"
FORMS: NONE
OMB NO: 3150-0123 EXPIRATION DATE: 11/30/2008
RESPS:134 HOURS:9,064 COSTS(000):$1
10 CFR Part 74, "Material Control and Accounting of Special
Nuclear Material"
FORMS: NONE
OMB NO: 3150-0127 EXPIRATION DATE: 08/31/2006
RESPS:1 HOURS:1 COSTS(000):$0
10 CFR Part 60, Disposal of High-Level Radioactive Wastes in
Geologic Repositories
FORMS: NONE
OMB NO: 3150-0130 EXPIRATION DATE: 10/31/2007
RESPS:1,800 HOURS:34,933 COSTS(000):$2
10 CFR Part 39, Licenses and Radiation Safety Requirements for
Well Logging
FORMS: NONE
OMB NO: 3150-0131 EXPIRATION DATE: 08/31/2008
RESPS:80 HOURS:80 COSTS(000):$0
Operator Licensing Examination Data
FORMS: NRC-536
OMB NO: 3150-0132 EXPIRATION DATE: 04/30/2008
RESPS:370 HOURS:25,551 COSTS(000):$0
10 CFR Part 72, Licensing Requirements for the Independent
Storage of Spent Nuclear Fuel and High-Level Radioactive Waste
FORMS: NONE
OMB NO: 3150-0135 EXPIRATION DATE: 04/30/2008
RESPS:16 HOURS:5,412 COSTS(000):$0
10 CFR Part 61, Licensing Requirements for Land Disposal of
Radioactive Waste
FORMS: NONE
OMB NO: 3150-0136 EXPIRATION DATE: 07/31/2008
RESPS:26 HOURS:1,991 COSTS(000):$0
Notice of Enforcement Discretion (NOEDs) for Operating Power
Reactors and Gaseous Diffusion Plants (GDP)
FORMS: NONE
OMB NO: 3150-0139 EXPIRATION DATE: 10/31/2007
RESPS:23 HOURS:98 COSTS(000):$0
NRC Form 327, Special Nuclear Material (SNM) and Source Material
(SM) Physical Inventory Summary Report, and NUREG/BR-009,
Instructions and Guidance for Completing Physical Inventory
FORMS: 327
OMB NO: 3150-0143 EXPIRATION DATE: 06/30/2009
RESPS:1 HOURS:227 COSTS(000):$0
10 CFR Part 62, Criteria and Procedures for Emergency Access to
Non-Federal and Regional Low-Level Waste Disposal Facilities
FORMS: NONE
OMB NO: 3150-0146 EXPIRATION DATE: 11/30/2008
RESPS:1,350 HOURS:61,143 COSTS(000):$5
10 CFR 26, Fitness for Duty Program
FORMS: NONE
OMB NO: 3150-0151 EXPIRATION DATE: 06/30/2008
RESPS:12 HOURS:185,220 COSTS(000):$0
10 CFR part 52, Early Site Permits; Standard Design Certifi-
cations; and Combined Licenses for Nuclear Plants
FORMS: NONE
OMB NO: 3150-0155 EXPIRATION DATE: 07/31/2008
RESPS:26 HOURS:148,000 COSTS(000):$2
10 CFR part 54, Requirements for Renewal of Operating Licenses
for Nuclear Power Plants
FORMS: NONE
OMB NO: 3150-0158 EXPIRATION DATE: 05/31/2008
RESPS:108 HOURS:44,356 COSTS(000):$3
10 CFR Part 36 - Licenses and Radiation Safety Requirements for
Irradiators
FORMS: NONE
OMB NO: 3150-0163 EXPIRATION DATE: 09/30/2006
RESPS:25 HOURS:250 COSTS(000):$0
Cooperation with States at Commerical Nuclear Power Plants and
Other Nuclear Production and Utilization Facilities, Policy
Statement
FORMS: NONE
OMB NO: 3150-0164 EXPIRATION DATE: 06/30/2007
RESPS:13,400 HOURS:10,050 COSTS(000):$0
Uniform Low-Level Radioactive Waste Manifest (Shipping Paper)
and Continuation Page
FORMS: 540 540A
OMB NO: 3150-0165 EXPIRATION DATE: 06/30/2007
RESPS:756 HOURS:567 COSTS(000):$0
Uniform Low-Level Radioactive Waste Manifest Index and Regional
Compact Tabulation
FORMS: 542 542A
OMB NO: 3150-0166 EXPIRATION DATE: 06/30/2007
RESPS:13,400 HOURS:44,341 COSTS(000):$0
Uniform Low-Level Radioactive Waste Manifest Container and Waste
Description
FORMS: 541 541A
OMB NO: 3150-0169 EXPIRATION DATE: 08/31/2008
RESPS:3,837 HOURS:26,095 COSTS(000):$0
48 CFR 20, U.S. Nuclear Regulatory Commission Acquisition
Regulation (NRCAR)
FORMS: NONE
OMB NO: 3150-0178 EXPIRATION DATE: 09/30/2006
RESPS:626 HOURS:1,252 COSTS(000):$0
Nuclear material Events Database (NMED) for the Collection of
Event Report, Response, Analyses, and Follow-up Data on Events
Involving the Use of Atomic Energy Act Radioactive Material
FORMS: NONE
OMB NO: 3150-0181 EXPIRATION DATE: 08/31/2006
RESPS:5 HOURS:1 COSTS(000):$0
Application/Permit for Use of the Two White Flint North (TWFN)
Auditorium, NRC Form 590
FORMS: 590
OMB NO: 3150-0183 EXPIRATION DATE: 05/31/2007
RESPS:54 HOURS:257,173 COSTS(000):$0
Policy Statements, Criteria for Guidance of States and NRC in
Discontinuance of NRC Regulatory Authority and Assumption
thereof by states through agreement and IMPEP Questionnaire.
FORMS: NONE
OMB NO: 3150-0188 EXPIRATION DATE: 10/31/2006
RESPS:300 HOURS:25 COSTS(000):$0
Request for Taxpayer Identification Number, NRC Form 531
FORMS: 531
OMB NO: 3150-0190 EXPIRATION DATE: 03/31/2008
RESPS:7,330 HOURS:611 COSTS(000):$0
NUREG/BR-0238, Materials Annual Fee Billing Handbook, NRC Form
628, Financial EDI Authorization, NUREG/BR-0254, Payment Methods
NRC Form 629, Authorization for Payment by Credit Card
FORMS: NRC-628 NRC-629
OMB NO: 3150-0192 EXPIRATION DATE: 06/30/2008
RESPS:100 HOURS:100 COSTS(000):$0
NRC Form 64, Travel Voucher (Part 1); NRC Form 64A, Travel
Voucher (Part 2), Schedule of Expenses and Amount Claimed; and
NRC Form 64B, Optional Travel Voucher (Part 2)
FORMS: 64 64A 64B
OMB NO: 3150-0193 EXPIRATION DATE: 08/31/2008
RESPS:200 HOURS:200 COSTS(000):$0
Request for Approval of Official Foreign Travel
FORMS: NRC-445
OMB NO: 3150-0195 EXPIRATION DATE: 11/30/2008
RESPS:449 HOURS:84,520 COSTS(000):$0
Voluntary Reporting of Performance Indicators
FORMS: NONE
OMB NO: 3150-0197 EXPIRATION DATE: 06/30/2009
RESPS:1,770 HOURS:393 COSTS(000):$0
Generic Customer Satisfactions Surveys and NRC Form 671, Request
for Review of a Customer Satisfaction Survey under Generic
Clearance
FORMS: NRC-671
OMB NO: 3150-0198 EXPIRATION DATE: 02/28/2007
RESPS:3,000 HOURS:1,000 COSTS(000):$0
NRC Form 664, General Licensee Registration
FORMS: 664
OMB NO: 3150-0199 EXPIRATION DATE: 10/31/2007
RESPS:9 HOURS:363 COSTS(000):$0
10 CFR Part 63, Disposal of High-Level Radioactive Wastes in a
Proposed Geologic Repository at Yucca Mountain, NV.
FORMS: NONE
OMB NO: 3150-0200 EXPIRATION DATE: 06/30/2009
RESPS:108 HOURS:891 COSTS(000):$0
Requests to Non-Agreement States for Information
FORMS: NONE
OMB NO: 3150-0202 EXPIRATION DATE: 06/30/2009
RESPS:2,781 HOURS:5,754 COSTS(000):$0
National Source Tracking Report
FORMS: 748
AGENCY TOTALS:
ACTIVE ANNUAL ANNUAL ANNUAL
REPORTS RESPONSES HOURS COSTS($000)
87 780,979 9,398,637 $375
Securities and Exchange Commission
OMB NO: 3235-0006 EXPIRATION DATE: 12/31/2006
RESPS:11,064 HOURS:245,409 COSTS(000):$0
Form 13F, Report of Institutional Investment Managers pursuant
to Section 13(f) of the Securities Exchange Act of 1934.
FORMS: SEC-1685
OMB NO: 3235-0007 EXPIRATION DATE: 12/31/2007
RESPS:600 HOURS:20,588 COSTS(000):$18,529
Private Transaction - Rule 13e-3 (Schedule 13E-3) under the
Securities Exchange Act of 1934
FORMS: 1893 1893-A
OMB NO: 3235-0009 EXPIRATION DATE: 06/30/2008
RESPS:1 HOURS:1 COSTS(000):$0
Regulation S-X, Form and Content of and Requirements for
Financial Statements, Securities Act of 1933, Securities
Exchange Act of 1934, Public Utility Holding Company Act of 1935,
FORMS: SEC-1887
OMB NO: 3235-0010 EXPIRATION DATE: 09/30/2007
RESPS:25 HOURS:106 COSTS(000):$0
Rule 15a-4(17 CFR 240.15-4); Forty-five Day Exemption from
Registration for Certain Members of National Securities
Exchanges.
FORMS: NONE
OMB NO: 3235-0012 EXPIRATION DATE: 09/30/2007
RESPS:20,600 HOURS:8,250 COSTS(000):$0
Form BD/Rule 15b1-1. Application for registration as a broker-
dealer.
FORMS: NONE
OMB NO: 3235-0017 EXPIRATION DATE: 08/31/2007
RESPS:11 HOURS:416 COSTS(000):$0
Form 1, Rules 6a-1 and 6a-2 Form of Application and Amendments
FORMS: 1
OMB NO: 3235-0018 EXPIRATION DATE: 10/31/2008
RESPS:1,040 HOURS:260 COSTS(000):$0
Form BDW
FORMS: NONE
OMB NO: 3235-0021 EXPIRATION DATE: 08/31/2007
RESPS:275 HOURS:138 COSTS(000):$0
Rule 6a-3 Supplemental Material to be Filed by Exchanges
FORMS: NONE
OMB NO: 3235-0025 EXPIRATION DATE: 05/31/2007
RESPS:7,600 HOURS:1,108,396 COSTS(000):$250,914
Rule 30e-1 under the Investment Company Act of 1940, Reports to
Stockholders of Management Companies
FORMS: NONE
OMB NO: 3235-0026 EXPIRATION DATE: 04/30/2009
RESPS:462 HOURS:125,389 COSTS(000):$5,898
Form N-2 under the Investment Company Act of 1940 and Securities
Act of 1933, Registration Statement of Closed-End Management
Investment Companies
FORMS: 1716
OMB NO: 3235-0028 EXPIRATION DATE: 12/31/2008
RESPS:302,967 HOURS:10,100 COSTS(000):$197
Retention of Fingerprint Cards (17 CFR 240.17f-2(d))
FORMS: NONE
OMB NO: 3235-0029 EXPIRATION DATE: 12/31/2008
RESPS:275,000 HOURS:68,750 COSTS(000):$0
Fingerprinting Plans of Self-Regulatory Organizations. (17 CFR
240.17f-2(c))
FORMS: NONE
OMB NO: 3235-0031 EXPIRATION DATE: 07/31/2008
RESPS:75 HOURS:38 COSTS(000):$0
Notice pursuant to Rule 17f-2(e)(17 CFR 240.17f-2(e))
FORMS: NONE
OMB NO: 3235-0032 EXPIRATION DATE: 12/31/2006
RESPS:1,000 HOURS:500 COSTS(000):$0
Requirements for reporting and inquiry with respect to missing,
lost, counterfeit, or stolen securities. (17 CFR 240.17f-1(b))
FORMS: NONE
OMB NO: 3235-0033 EXPIRATION DATE: 12/31/2007
RESPS:6,900 HOURS:2,421,195 COSTS(000):$24,900
Rule 17a-3; Records to be Made by Certain Exchange Members,
Brokers and Dealers
FORMS: NONE
OMB NO: 3235-0034 EXPIRATION DATE: 02/28/2007
RESPS:550,000 HOURS:275,000 COSTS(000):$13,750
Fingerprinting requirements for securities professionals. (17
CFR 240.17f-2(a))
FORMS: NONE
OMB NO: 3235-0035 EXPIRATION DATE: 07/31/2008
RESPS:23,628 HOURS:590,700 COSTS(000):$0
Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be
made by Certain Exchange Members, Brokers, and Dealers.
FORMS: NONE
OMB NO: 3235-0037 EXPIRATION DATE: 12/31/2006
RESPS:1,300,000 HOURS:108,333 COSTS(000):$0
Reporting of missing, lost, stolen or counterfeit securities (17
CFR Section 240.17f-1(c); Form X-17F-1A (17 CFR Section 249.100)
FORMS: NONE
OMB NO: 3235-0043 EXPIRATION DATE: 08/31/2008
RESPS:1 HOURS:400 COSTS(000):$1
Application for Registration of Securities Information
Processors - Rule 11Ab2-1 and Form SIP
FORMS: SIP
OMB NO: 3235-0044 EXPIRATION DATE: 04/30/2009
RESPS:1 HOURS:3 COSTS(000):$0
Amendments and Supplements to Registration Statements of
Securities Associations - Rule Aj-1 (17 CFR 240.15Aj-1)
FORMS: X-15AJ-1 X-15AJ-2
OMB NO: 3235-0045 EXPIRATION DATE: 06/30/2007
RESPS:1,279 HOURS:38,771 COSTS(000):$0
Rule 19b-4 Filings with Respect to Proposed Rule Changes by
Self-Regulatory Organizations
FORMS: 19B-4
OMB NO: 3235-0047 EXPIRATION DATE: 07/31/2008
RESPS:19,553,280 HOURS:6,224,623 COSTS(000):$0
Rule 204-3 [17 CFR 275.204-3] under the Investment Advisers Act
of 1940
FORMS: NONE
OMB NO: 3235-0049 EXPIRATION DATE: 07/31/2008
RESPS:24,612 HOURS:137,403 COSTS(000):$3,695
Form ADV
FORMS: SEC-1707
OMB NO: 3235-0056 EXPIRATION DATE: 10/31/2008
RESPS:1,760 HOURS:5,280 COSTS(000):$0
Form-8-A
FORMS: 1922
OMB NO: 3235-0057 EXPIRATION DATE: 05/31/2009
RESPS:680 HOURS:42,917 COSTS(000):$4,293
Regulation 14C (Commission Rules 14c-1 through 14c-7 and
Schedule 14C)
FORMS: SEC-733A
OMB NO: 3235-0058 EXPIRATION DATE: 04/30/2009
RESPS:7,799 HOURS:19,498 COSTS(000):$0
Form 12b-25 - Notification of late filing
FORMS: SEC-1344
OMB NO: 3235-0059 EXPIRATION DATE: 05/31/2009
RESPS:7,300 HOURS:462,638 COSTS(000):$46,263
Regulation 14A (Commission Rules 14a-1 through 14a-15 and
Schedule 14A)
FORMS: SEC-733 SEC-1913
OMB NO: 3235-0060 EXPIRATION DATE: 04/30/2009
RESPS:108,424 HOURS:406,590 COSTS(000):$40,659
Exchange Act Form 8-K
FORMS: 873
OMB NO: 3235-0062 EXPIRATION DATE: 10/31/2007
RESPS:1 HOURS:1 COSTS(000):$0
Regulation 12B-Registration and Reporting
FORMS: NONE
OMB NO: 3235-0063 EXPIRATION DATE: 04/30/2009
RESPS:8,602 HOURS:14,638,454 COSTS(000):$1,463,845
Exchange Act Form 10-K
FORMS: 1673
OMB NO: 3235-0064 EXPIRATION DATE: 04/30/2009
RESPS:72 HOURS:3,888 COSTS(000):$3,499
Exchange Act Form 10
FORMS: 1396
OMB NO: 3235-0065 EXPIRATION DATE: 04/30/2009
RESPS:528 HOURS:153,384 COSTS(000):$138,046
Form S-1 Registration Statement
FORMS: 870
OMB NO: 3235-0066 EXPIRATION DATE: 08/31/2007
RESPS:3,847 HOURS:46,164 COSTS(000):$13,850
Form S-8-Securities Act Registration Statement
FORMS: 1398
OMB NO: 3235-0067 EXPIRATION DATE: 04/30/2009
RESPS:60 HOURS:29,280 COSTS(000):$26,352
Form S-11 - Registration Statement
FORMS: 907
OMB NO: 3235-0069 EXPIRATION DATE: 03/31/2007
RESPS:1 HOURS:1 COSTS(000):$0
Industry Guides
FORMS: SEC-2056
OMB NO: 3235-0070 EXPIRATION DATE: 01/31/2008
RESPS:20,264 HOURS:2,918,263 COSTS(000):$291,826
Exchange Act Form 10-Q
FORMS: SEC-1296
OMB NO: 3235-0071 EXPIRATION DATE: 04/30/2009
RESPS:1 HOURS:1 COSTS(000):$0
Regulation S-K-Standard Instructions for filing Forms under
Securities Act 1933 and Exchange Act 1934
FORMS: 1845
OMB NO: 3235-0073 EXPIRATION DATE: 03/31/2008
RESPS:1,999 HOURS:229,569 COSTS(000):$206,612
Form S-3 - Registration Statement
FORMS: SEC-1379
OMB NO: 3235-0074 EXPIRATION DATE: 01/31/2008
RESPS:1 HOURS:1 COSTS(000):$0
Regulation C
FORMS: SEC-1898
OMB NO: 3235-0076 EXPIRATION DATE: 04/30/2008
RESPS:17,500 HOURS:17,500 COSTS(000):$15,750
Form D is a notice of sales filed by issuers of securities under
Regulation D.
FORMS: SEC-1972 SEC-1972-A
OMB NO: 3235-0078 EXPIRATION DATE: 11/30/2007
RESPS:15,984 HOURS:118,551 COSTS(000):$1,070
Customer Protection - Reserves and Custody of Securities (17 CFR
240.15c3-3)
FORMS: NONE
OMB NO: 3235-0079 EXPIRATION DATE: 04/30/2009
RESPS:40 HOURS:13 COSTS(000):$0
Temporary Exemption of Substituted or Additional Securities -
Rule 12a-5 (17 CFR 240.12a-5) and Form 26 (17 CFR 249.26)
FORMS: 26
OMB NO: 3235-0080 EXPIRATION DATE: 02/28/2009
RESPS:705 HOURS:705 COSTS(000):$0
Rule 12d2-2, Removal from Listing and Registration (17 CFR 240.
12d2-2) and Form 25 (17 CFR 249.25)
FORMS: FORM-25
OMB NO: 3235-0081 EXPIRATION DATE: 03/31/2009
RESPS:104 HOURS:52 COSTS(000):$0
Rule 12d2-1, Suspension of Trading (17 CFR 240.12d2-1)
FORMS: NONE
OMB NO: 3235-0082 EXPIRATION DATE: 12/31/2006
RESPS:774 HOURS:23,220 COSTS(000):$0
Form 11-K
FORMS: SEC-617
OMB NO: 3235-0083 EXPIRATION DATE: 09/30/2007
RESPS:32 HOURS:48 COSTS(000):$0
Rule 15Ba2-1; Application for Registration of Municipal
Securities Dealers
FORMS: MSD 1534
OMB NO: 3235-0084 EXPIRATION DATE: 06/30/2009
RESPS:100 HOURS:150 COSTS(000):$0
Rule 17Ac2-1, 17 CFR 240.17Ac2-1 (Transfer Agent Registration)
FORMS: NONE
OMB NO: 3235-0085 EXPIRATION DATE: 01/31/2007
RESPS:1,968 HOURS:1,068 COSTS(000):$0
Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for
brokers and dealers.
FORMS: NONE
OMB NO: 3235-0087 EXPIRATION DATE: 09/30/2007
RESPS:20 HOURS:10 COSTS(000):$0
Rule 15Bc3-1, Withdrawal from Registration of Municipal
Securities Dealers
FORMS: MSDW(NO.1588)
OMB NO: 3235-0088 EXPIRATION DATE: 10/31/2008
RESPS:1 HOURS:4 COSTS(000):$0
Exchange Act Rule 15Ba2-5, Registration of fiduciaries (17 CFR
240.15Ba2-5)
FORMS: NONE
OMB NO: 3235-0092 EXPIRATION DATE: 08/31/2006
RESPS:1 HOURS:1 COSTS(000):$0
Rule 17a-8; Financial Recordkeeping and Reporting of Currency
and Foreign Transactions
FORMS: NONE
OMB NO: 3235-0095 EXPIRATION DATE: 09/30/2008
RESPS:10 HOURS:15 COSTS(000):$0
Rule 236 - Exemption of Shares Offered in Connection with
Certain Transactions
FORMS: NONE
OMB NO: 3235-0101 EXPIRATION DATE: 12/31/2006
RESPS:18,096 HOURS:36,192 COSTS(000):$0
Form 144 - Notice of Proposed Sale of Securities Pursuant to
Rule 144 under the Securities Act of 1933
FORMS: SEC-1147 SEC-1333
OMB NO: 3235-0102 EXPIRATION DATE: 04/30/2008
RESPS:360 HOURS:23,220 COSTS(000):$20,898
Tender Offer--Regulation 14D and Regulation 14E, Schedule 14D-9
FORMS: SEC-1917
OMB NO: 3235-0104 EXPIRATION DATE: 01/31/2008
RESPS:29,000 HOURS:14,500 COSTS(000):$0
Form 3 - Initial Statement of Beneficial Ownership of Securities
FORMS: SEC-1472 SEC-1473
OMB NO: 3235-0105 EXPIRATION DATE: 12/31/2006
RESPS:78 HOURS:838.5 COSTS(000):$755
Form T-3 Application For Qualification of an Indenture under the
Trust Indenture Act of 1939
FORMS: SEC-1919
OMB NO: 3235-0107 EXPIRATION DATE: 12/31/2006
RESPS:3 HOURS:4 COSTS(000):$3
Form T-4 Application For Exemption
FORMS: SEC-1920
OMB NO: 3235-0108 EXPIRATION DATE: 03/31/2007
RESPS:44 HOURS:792 COSTS(000):$0
Rule 14f-1 - Change in Majority of Directors
FORMS: NONE
OMB NO: 3235-0109 EXPIRATION DATE: 01/31/2007
RESPS:688 HOURS:344 COSTS(000):$0
Rule 12d1-3
FORMS: NONE
OMB NO: 3235-0110 EXPIRATION DATE: 12/31/2006
RESPS:13 HOURS:49 COSTS(000):$44
Form T-1 - Statement of eligibility and qualification under the
Trust Indenture Act of 1939 of a corporation designated to act
as a trustee
FORMS: SEC-1836
OMB NO: 3235-0111 EXPIRATION DATE: 12/31/2006
RESPS:36 HOURS:81 COSTS(000):$73
Form T-2 - Statement of eligibility under the Trust Indenture
Act of 1939 of an individual designated to act as a trustee
FORMS: SEC-1849
OMB NO: 3235-0116 EXPIRATION DATE: 09/30/2007
RESPS:13,342 HOURS:82,941 COSTS(000):$8,217
Form 6-K, Exchange Act Rules 13a-16 and 15d-16
FORMS: SEC-1815
OMB NO: 3235-0119 EXPIRATION DATE: 03/31/2007
RESPS:1,800 HOURS:1,800 COSTS(000):$0
Securities Exchange Act 1934 - Rule 12g3-2
FORMS: NONE
OMB NO: 3235-0120 EXPIRATION DATE: 11/30/2006
RESPS:40 HOURS:320 COSTS(000):$0
Form 18-K - Annual Report
FORMS: 1797
OMB NO: 3235-0121 EXPIRATION DATE: 12/31/2006
RESPS:5 HOURS:40 COSTS(000):$0
Form 18 Registration Form
FORMS: SEC-1421
OMB NO: 3235-0122 EXPIRATION DATE: 12/31/2008
RESPS:500 HOURS:6,000 COSTS(000):$0
Report on Income and Expense, Rule 17a-10 (17 CFR 240.17a-10).
FORMS: NONE
OMB NO: 3235-0123 EXPIRATION DATE: 01/31/2007
RESPS:34,887 HOURS:417,660 COSTS(000):$0
Rule 17a-5; Reports to be made by certain brokers and dealers
FORMS: NONE
OMB NO: 3235-0125 EXPIRATION DATE: 05/31/2007
RESPS:111 HOURS:24,753 COSTS(000):$0
Form U-1 (17 CFR 259.101), Application or Declaration under
Public Utility Holding Company Act of 1935
FORMS: 1476
OMB NO: 3235-0126 EXPIRATION DATE: 05/31/2007
RESPS:335 HOURS:1,005 COSTS(000):$0
Rule 24, 17 CFR 250.24, Reports of Consummation of Transactions
FORMS: NONE
OMB NO: 3235-0128 EXPIRATION DATE: 04/30/2009
RESPS:8 HOURS:8 COSTS(000):$0
Applications for Permission to Reinstate Unlisted Trading
Privileges - Rule 12f-1 (17 CFR 240.12f-1)
FORMS: NONE
OMB NO: 3235-0130 EXPIRATION DATE: 04/30/2007
RESPS:10 HOURS:5 COSTS(000):$0
Turnaround, Processing and Forwarding of Items, C.F.R.
240.17Ad-2 (c), (d), (h)
FORMS: NONE
OMB NO: 3235-0131 EXPIRATION DATE: 11/30/2007
RESPS:65 HOURS:65 COSTS(000):$0
Rule 17a-7; Records of non-resident brokers or dealers.
FORMS: NONE
OMB NO: 3235-0132 EXPIRATION DATE: 03/31/2007
RESPS:1 HOURS:1 COSTS(000):$0
Trust Indenture Act Rules 7a-15 through 7a-37
FORMS: NONE
OMB NO: 3235-0133 EXPIRATION DATE: 12/31/2008
RESPS:1,800 HOURS:450 COSTS(000):$0
Rule 17a-19 (17 CFR 240.17a-19) and Form X-17A-19. Reports by
National Securities Exchanges and Registered National Securities
Associations of Changes in Membership Status of Any of Their
FORMS: NONE
OMB NO: 3235-0134 EXPIRATION DATE: 04/30/2009
RESPS:400,000 HOURS:33,333 COSTS(000):$0
Rule 15c1-7, 17 CFR 240.15c1-7 (Discretionary Accounts)
FORMS: NONE
OMB NO: 3235-0145 EXPIRATION DATE: 02/28/2009
RESPS:12,500 HOURS:35,575 COSTS(000):$32,018
Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G
FORMS: SCHED-13D SEC-1746 SCHED-13G SEC-1745
OMB NO: 3235-0149 EXPIRATION DATE: 08/31/2006
RESPS:62 HOURS:16 COSTS(000):$0
Rule 29 - Filings of Reports to State Commissions
FORMS: NONE
OMB NO: 3235-0151 EXPIRATION DATE: 07/31/2008
RESPS:50 HOURS:25 COSTS(000):$0
Withdrawal from Registration with the Commission as a Transfer
Agent. (17 CFR 240.17Ac3-1(a))
FORMS: TA-W 1669 17CFR249B.101
OMB NO: 3235-0154 EXPIRATION DATE: 11/30/2007
RESPS:14 HOURS:46 COSTS(000):$0
Rule 45 (17 CFR 250.45) under the Public Utility Holding Company
Act of 1935, Loans, extensions of credit, donations and capital
contributions to associate companies
FORMS: NONE
OMB NO: 3235-0157 EXPIRATION DATE: 01/31/2008
RESPS:261 HOURS:783 COSTS(000):$0
Form N-8F Application for Deregistration of Certain Registered
Investment Companies
FORMS: SEC-1691
OMB NO: 3235-0158 EXPIRATION DATE: 12/31/2006
RESPS:1,058 HOURS:114,740 COSTS(000):$16,108
Rule 20a-1 under the Investment Company Act of 1940,
Solicitation of Proxies, Consents and Authorizations
FORMS: NONE
OMB NO: 3235-0160 EXPIRATION DATE: 03/31/2007
RESPS:5 HOURS:10 COSTS(000):$0
Rule 3-Exemption of Certain Banks Form U-3A3-1-Statement by Bank
Claiming Exemption
FORMS: SEC-1835
OMB NO: 3235-0167 EXPIRATION DATE: 10/31/2007
RESPS:2,000 HOURS:3,000 COSTS(000):$0
Form 15
FORMS: SEC-2069
OMB NO: 3235-0169 EXPIRATION DATE: 08/31/2007
RESPS:2 HOURS:704 COSTS(000):$40
Form N-5, registration statement of small business investment
companies under the Securities Act of 1933 and the Investment
Company Act of 1940.
FORMS: SEC-993
OMB NO: 3235-0170 EXPIRATION DATE: 03/31/2007
RESPS:4 HOURS:320 COSTS(000):$0
Family of Registration Filings-Rules 1(a) and (b); Form U5A SEC
1843 and U5B SEC 1844.
FORMS: 1843 1844
OMB NO: 3235-0175 EXPIRATION DATE: 08/31/2007
RESPS:263 HOURS:263 COSTS(000):$96
Form N-8A under the Investment Company Act of 1940: Notification
of Registration of Investment Companies
FORMS: SEC-1102
OMB NO: 3235-0176 EXPIRATION DATE: 03/31/2007
RESPS:1 HOURS:1 COSTS(000):$0
Family of rules under section 8(b) of the Investment Company Act
of 1940. 17 CFR 270.8b-1 to 270.8b-32.
FORMS: NONE
OMB NO: 3235-0177 EXPIRATION DATE: 06/30/2009
RESPS:1 HOURS:1 COSTS(000):$0
Rule 270.6e-2 under the Investment Company Act of 1940,
exemption for certain variable insurance separate accounts,
including Form N-6E1, notification of claim of exemption from
registration .....
FORMS: SEC-1130
OMB NO: 3235-0178 EXPIRATION DATE: 04/30/2009
RESPS:4,300 HOURS:25,800,000 COSTS(000):$0
Rule 31a-1 under the Investment Company Act of 1940 [17 CFR
270.31a-1], Records to be maintained by registered investment
companies, certain majority-owned subsidiaries thereof, and other
FORMS: NONE
OMB NO: 3235-0179 EXPIRATION DATE: 07/31/2007
RESPS:5,132 HOURS:1,111,986 COSTS(000):$136,500
Rule 31a-2 Records to be preserved by registered investment
companies, certain majority-owned subsidiaries thereof, and
other persons having transactions with registered investment
companies.
FORMS: NONE
OMB NO: 3235-0184 EXPIRATION DATE: 01/31/2008
RESPS:3,080 HOURS:107,800 COSTS(000):$49,797
Form S-6 [17 CFR 239.16] - for registration under the Securities
Act of 1933 of Unit Investment Trusts registered on Form N-8B-2
FORMS: SEC-649
OMB NO: 3235-0186 EXPIRATION DATE: 08/31/2007
RESPS:12 HOURS:220 COSTS(000):$63
Form N-8B-2; Registration Statement of Unit Investment Trusts
that are currently issuing securities.
FORMS: SEC-0977
OMB NO: 3235-0194 EXPIRATION DATE: 04/30/2009
RESPS:8 HOURS:4 COSTS(000):$0
Rule 24b-1; Documents to be Kept Public by Exchanges.
FORMS: NONE
OMB NO: 3235-0195 EXPIRATION DATE: 12/31/2008
RESPS:1 HOURS:130 COSTS(000):$18
Rule 17Ab2-1 Registration of Clearing Agencies (17 CFR 24017Ab2-
1a) and Form CA-1 (17 CFR 249b.200
FORMS: CA-1(SEC1853)
OMB NO: 3235-0196 EXPIRATION DATE: 10/31/2008
RESPS:2,000 HOURS:500 COSTS(000):$3
Rule 17a-22, 17 CFR 240.17a-22; Supplemental Material of
Registered Clearing Agencies
FORMS: NONE
OMB NO: 3235-0198 EXPIRATION DATE: 10/31/2008
RESPS:400 HOURS:600 COSTS(000):$0
Rule 15c2-5 (17 CFR 240.15c2-5); Disclosure and Other
Requirements When Extending or Arranging Credit in Certain
Transactions
FORMS: NONE
OMB NO: 3235-0199 EXPIRATION DATE: 03/31/2009
RESPS:218,000,000 HOURS:130,000 COSTS(000):$4,200
Rule 17a-5(c); Customer Financial Statements for Brokers and
Dealers.
FORMS: NONE
OMB NO: 3235-0200 EXPIRATION DATE: 01/31/2007
RESPS:1,100 HOURS:112,430 COSTS(000):$712
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers
FORMS: NONE
OMB NO: 3235-0201 EXPIRATION DATE: 07/31/2008
RESPS:519 HOURS:2,595 COSTS(000):$0
Rule 17a-2, 17 CFR 240.17a-2 (Recordkeeping Requirements
Relating to Stabilizing Activities)
FORMS: NONE
OMB NO: 3235-0202 EXPIRATION DATE: 08/31/2008
RESPS:1,200 HOURS:5,760 COSTS(000):$115
Rule 15c2-11, 17 CRF 240.15c2-11 (Publication or submission of
quotations without current information)
FORMS: NONE
OMB NO: 3235-0204 EXPIRATION DATE: 07/31/2007
RESPS:15 HOURS:270 COSTS(000):$0
Rule 19d-3-Application for Review of Final Disciplinary
Sanctions Denials of Membership Participation or Limitations of
Access to Services Imposed by Self-Regulatory Organizations (17
CFR 240.19d
FORMS: NONE
OMB NO: 3235-0205 EXPIRATION DATE: 06/30/2009
RESPS:30 HOURS:90 COSTS(000):$0
Rule 19d-2. Applications for Stays of Disciplinary Sanctions or
Summary Suspensions by a Self Regulatory Organization
FORMS: NONE
OMB NO: 3235-0206 EXPIRATION DATE: 07/31/2007
RESPS:2,350 HOURS:1,175 COSTS(000):$0
Rule 19d-1-Notices by Self-Regulatory Organizations of Final
Disciplinary Actions, Denials, Bars, or Limitations Respecting
Membership Association, Participation, or Access to Services, and
FORMS: NONE
OMB NO: 3235-0208 EXPIRATION DATE: 11/30/2007
RESPS:25 HOURS:1,103 COSTS(000):$0
Rule 17a-1: Recordkeeping Rule for National Securities
Exchanges, National Securities Associations, Registered Clearing
Agencies, and the Municipal Securities Rulemaking Board.
FORMS: NONE
OMB NO: 3235-0211 EXPIRATION DATE: 08/31/2008
RESPS:38 HOURS:38 COSTS(000):$0
Investment Company Act rule 18f-1, 17 C.F.R. Sec. 270.18f-1
exemption from certain requirements of section 18(f)(1) for
registered open-end investment companies that have the right to
FORMS: N-18F-1
OMB NO: 3235-0212 EXPIRATION DATE: 05/31/2007
RESPS:26,807 HOURS:628,833 COSTS(000):$90
Rule 12b-1 (17 CFR 270.12b-1) under the Investment Company Act
of 1940: Distribution of Shares by Registerd Open-end Management
Investment Company.
FORMS: NONE
OMB NO: 3235-0213 EXPIRATION DATE: 12/31/2006
RESPS:1 HOURS:4,600 COSTS(000):$0
Rule 17g-1 (17 CFR 270.17g-1) under the Investment Company Act
of 1940: Bonding of Officers and Employees of Registered
Management Investment Companies
FORMS: NONE
OMB NO: 3235-0214 EXPIRATION DATE: 05/31/2009
RESPS:7,744 HOURS:1,935 COSTS(000):$0
Investment Company Act rule 17a-7, 17 C.F.R. Section 270.17a-7
Exemption of Certain Purchase or Sale Transactions Between an
Investment Company and Certain Affiliated Persons Thereof.
FORMS: NONE
OMB NO: 3235-0216 EXPIRATION DATE: 06/30/2009
RESPS:6,000 HOURS:9,000 COSTS(000):$0
Investment Company Act Rule 19a-1, C.F.R. Sec. 270.19a-1,
Written Statement to Accompany Dividend Payments by Management
Companies.
FORMS: NONE
OMB NO: 3235-0217 EXPIRATION DATE: 07/31/2008
RESPS:798 HOURS:10,377 COSTS(000):$0
Investment Company Act rule 17e-1, C.F.R. Sec. 270.17e-1,
Brokerage Transactions on a Securities Exchange.
FORMS: NONE
OMB NO: 3235-0220 EXPIRATION DATE: 06/30/2009
RESPS:14,640 HOURS:1 COSTS(000):$0
Rule 30b2-1 (17 CFR 270.30b2-1) under the Investment Company Act
of 1940, Filing of Copies of Reports to Shareholders
FORMS: NONE
OMB NO: 3235-0222 EXPIRATION DATE: 06/30/2009
RESPS:60 HOURS:210 COSTS(000):$221
Investment Company Act rule 17f-1 (17 CFR 270.17f-1), Custody of
Securities and Members of National Securities Exchanges.
FORMS: SEC-2205
OMB NO: 3235-0223 EXPIRATION DATE: 07/31/2009
RESPS:37,800 HOURS:13,300 COSTS(000):$8,000
Rule 17f-2 (17 CFR 270.17f-2) under the Investment Company Act
of 1940, Custody of Investments by Registered Management
Investment Company.
FORMS: SEC2198
OMB NO: 3235-0224 EXPIRATION DATE: 08/31/2007
RESPS:102,230 HOURS:243,884 COSTS(000):$845
Rule 17j-1 (17 CFR 270.17j-1) under the Investment Company Act
of 1940, Personal Investment Activities of Investment Company
Personnel
FORMS: NONE
OMB NO: 3235-0225 EXPIRATION DATE: 12/31/2007
RESPS:695 HOURS:3,536 COSTS(000):$82
Rule 17f-4 (17 CFR 270.17f-4) under the Investment Company Act
of 1940, "Custody of Investment Company Assets with a Securities
Depository
FORMS: NONE
OMB NO: 3235-0226 EXPIRATION DATE: 07/31/2008
RESPS:2,978 HOURS:4,250 COSTS(000):$0
Rule 10f-3 (17 CFR 270.10f-3) under the Investment Company Act
of 1940, Exemption for the Acquisition of Securities During the
Existence of an Underwriting or Selling Syndicate
FORMS: NONE
OMB NO: 3235-0229 EXPIRATION DATE: 12/31/2008
RESPS:1 HOURS:1 COSTS(000):$0
Form N-17D-1 Report Filed by Small Business Investment Company
(SBIC) Registered Under the Investment Company Act of 1940 and
an Affiliated Bank, with Respect to Investment by the SBIC and
the
FORMS: SEC-1839
OMB NO: 3235-0232 EXPIRATION DATE: 06/30/2007
RESPS:15 HOURS:1,500 COSTS(000):$525
Form 1-E-Notification Under Regulation E; Rule 604-Filing of
Notification on Form 1-E; Rule 605-Filing and Use of the
Offering Circular
FORMS: 1807
OMB NO: 3235-0233 EXPIRATION DATE: 09/30/2006
RESPS:4 HOURS:16 COSTS(000):$0
Form 2-E under the Securities Act of 1933, Report of Sales
pursuant to Rule 609 of Regulation E. Rule 609 under the
Securities Act of 1933, Report of Sales.
FORMS: 1808
OMB NO: 3235-0235 EXPIRATION DATE: 12/31/2007
RESPS:600 HOURS:4,200 COSTS(000):$900
Rule 17a-8 [17 CFR 270.17a-8] under the Investment Company Act
of 1940, concerning mergers of certain affiliated investment
companies.
FORMS: NONE
OMB NO: 3235-0236 EXPIRATION DATE: 06/30/2009
RESPS:18 HOURS:18 COSTS(000):$0
Form N-54C under the Investment Company Act of 1940,
Notification of Withdrawal of Election to be Subject to Sections
55 through 65 of the Investment Company Act of 1940 Filed
Pursuant to Section
FORMS: 1938
OMB NO: 3235-0237 EXPIRATION DATE: 04/30/2009
RESPS:46 HOURS:23 COSTS(000):$0
Form N-54A under the Investment Company Act of 1940,
notification of election to be subject to Sections 55 through 65
of the Invest ment Company Act of 1940 filed pursuant to Section
54(a) of the..
FORMS: SEC1937
OMB NO: 3235-0238 EXPIRATION DATE: 06/30/2009
RESPS:2 HOURS:1 COSTS(000):$0
Form N-6F under the Investment Company Act of 1940, notice of
intent to elect to be subject to Section 55 through 65 of the
Investment Company Act of 1940
FORMS: 1936
OMB NO: 3235-0240 EXPIRATION DATE: 07/31/2008
RESPS:19 HOURS:18 COSTS(000):$0
Rule 0-2 and Form ADV-NR under the Investment Advisers Act of
1940
FORMS: SEC-2565
OMB NO: 3235-0241 EXPIRATION DATE: 12/31/2007
RESPS:797,475 HOURS:398,738 COSTS(000):$963
Rule 206(4)-2 under the Investment Advisers Act of 1940--Custody
of Funds or Securities of Clients by Investment Advisers
FORMS: SEC-1716
OMB NO: 3235-0242 EXPIRATION DATE: 07/31/2008
RESPS:21,406 HOURS:12,630 COSTS(000):$0
Rule 206(4)-3 under the Investment Advisers Act of 1940 [17 CFR
275.206(4)-3]
FORMS: NONE
OMB NO: 3235-0243 EXPIRATION DATE: 03/31/2007
RESPS:24,960 HOURS:12,480 COSTS(000):$0
Rule 206(3)-2 under the Investment Advisers Act of 1940 --
Agency Cross Transactions for Advisory Clients
FORMS: NONE
OMB NO: 3235-0247 EXPIRATION DATE: 12/31/2008
RESPS:1 HOURS:171 COSTS(000):$7
Form N-8b-4 under the Investment Company Act of
1940-Registration Statement of Face-Amount Certificate Companies
FORMS: SEC-1285
OMB NO: 3235-0249 EXPIRATION DATE: 04/30/2009
RESPS:10 HOURS:10 COSTS(000):$0
Termination or Suspension of Unlisted Trading Privileges - Rule
12f-3 (17 CFR 240.12f-3)
FORMS: NONE
OMB NO: 3235-0256 EXPIRATION DATE: 01/31/2008
RESPS:102 HOURS:4,240 COSTS(000):$3,816
Form F-3 Registration Statement
FORMS: SEC-1983
OMB NO: 3235-0258 EXPIRATION DATE: 01/31/2008
RESPS:42 HOURS:18,999 COSTS(000):$17,100
Form F-1 - Registration Statement
FORMS: SEC-1981
OMB NO: 3235-0259 EXPIRATION DATE: 07/31/2007
RESPS:25 HOURS:200 COSTS(000):$0
Rule 19h-1 - Notices by Self-Regulatory Organizations of
Proposed Admission to or Continuance in Membership or
Participation or Association with a Member of any Person Suject
to a Statutory
FORMS: NONE
OMB NO: 3235-0260 EXPIRATION DATE: 12/31/2006
RESPS:132 HOURS:330 COSTS(000):$0
Rule 23c-1 [17 CFR 270.23c-1], "Repurchase of Securities of
Closed-End Companies."
FORMS: NONE
OMB NO: 3235-0268 EXPIRATION DATE: 04/30/2009
RESPS:137,453 HOURS:1,034,800 COSTS(000):$45,100
Rule 2a-7 (17 CFR 270.2a-7) under the Investment Company Act of
1940, Money market funds
FORMS: NONE
OMB NO: 3235-0269 EXPIRATION DATE: 12/31/2008
RESPS:282 HOURS:16,914 COSTS(000):$0
Rule 17f-5 (17 CFR 270.17f-5) under the Investment Company Act
of 1940, Custody of Investment Company Assets Outside the United
States
FORMS: NONE
OMB NO: 3235-0272 EXPIRATION DATE: 12/31/2006
RESPS:711 HOURS:1 COSTS(000):$0
Rule 11a-2 [CFR 270.11a-2] under the Investment Company Act of
1940: Offers of Exchange by Certain Registered Separate Accounts
or Others the Terms of Which Do Not Require Commission Approval.
FORMS: NONE
OMB NO: 3235-0273 EXPIRATION DATE: 04/30/2007
RESPS:950 HOURS:19,000 COSTS(000):$0
Rule 17Ad-10: Accurate Creation and Maintenance of
Securityholder Files (17 CFR 240.17Ad-10)
FORMS: NONE
OMB NO: 3235-0274 EXPIRATION DATE: 03/31/2007
RESPS:300 HOURS:150 COSTS(000):$0
Reports regarding aged record difference, buy-ins and failure to
post certificate detail to master securityholder and subsidiary
files (17 CFR 240.17Ad-11)
FORMS: NONE
OMB NO: 3235-0275 EXPIRATION DATE: 03/31/2007
RESPS:200 HOURS:35,000 COSTS(000):$0
Annual Study and Evaluation of Internal Accounting Control (17
CFR 240.17Ad-13)
FORMS: NONE
OMB NO: 3235-0276 EXPIRATION DATE: 12/31/2006
RESPS:2,600 HOURS:130 COSTS(000):$0
Rule 6c-7 [17 CFR 270.6c-7] under the Investment Company Act of
1940: Exemptions from Certain Provisions of Sections 22(e) and
27 for Registered Separate Accounts Offering Variable Annuity
FORMS: NONE
OMB NO: 3235-0278 EXPIRATION DATE: 07/31/2008
RESPS:9,728 HOURS:1,762,267 COSTS(000):$12,221
Rule 204-2
FORMS: NONE
OMB NO: 3235-0279 EXPIRATION DATE: 04/30/2008
RESPS:6,900 HOURS:1,752,600 COSTS(000):$34,500
Rule 17a-4; Records to be Preserved by Certain Exchange Members,
Brokers and Dealers
FORMS: NONE
OMB NO: 3235-0286 EXPIRATION DATE: 11/30/2007
RESPS:165 HOURS:76,849 COSTS(000):$7,685
Regulation A (Forms 1-A and 2-A): Regulation A- Small Issuer
exemption from registration under the Securities Act and its
attendant forms. Form 1-A-Regulation A offering statement and
FORMS: SEC-1782 SEC-486 SEC-816
OMB NO: 3235-0287 EXPIRATION DATE: 01/31/2008
RESPS:225,000 HOURS:112,500 COSTS(000):$0
Form 4 - Statement of Changes in Beneficial Ownership of
Securities
FORMS: SEC-1474 SEC-1475
OMB NO: 3235-0288 EXPIRATION DATE: 09/30/2007
RESPS:990 HOURS:650,925 COSTS(000):$585,833
Form 20-F
FORMS: SEC-1852
OMB NO: 3235-0290 EXPIRATION DATE: 01/31/2008
RESPS:848,562 HOURS:14,143 COSTS(000):$0
Rule 17f-1(g), 17 CFR 240.17f-1(g): Recordkeeping Requirements
for the Lost & Stolen Securities Program
FORMS: NONE
OMB NO: 3235-0291 EXPIRATION DATE: 07/31/2009
RESPS:785 HOURS:392,500 COSTS(000):$0
Rules 17Ad-6, 17 CFR 240.17Ad-6 and 17Ad-7, 17 CFR 240.17Ad-7:
Recordkeeping Requirements for Registered Transfer Agents
FORMS: NONE
OMB NO: 3235-0292 EXPIRATION DATE: 01/31/2007
RESPS:150 HOURS:1,275 COSTS(000):$1,147
Form F-6-Registration Statement
FORMS: 2001
OMB NO: 3235-0305 EXPIRATION DATE: 03/31/2007
RESPS:20 HOURS:50 COSTS(000):$45
Rule 13e-1
FORMS: NONE
OMB NO: 3235-0306 EXPIRATION DATE: 12/31/2007
RESPS:29 HOURS:29 COSTS(000):$58
Part 257 [17 CFR 257] Preservation and Destruction of Records of
Registered Public Utility Holding Companies and of Mutual and
Subsidiary Service Companies.
FORMS: NONE
OMB NO: 3235-0307 EXPIRATION DATE: 12/31/2007
RESPS:2,602 HOURS:1,127,280 COSTS(000):$67,989
Form N-1A under the Securities Act of 1933 and under the
Investment Company Act of 1940, registration statement of open-
end management investment companies
FORMS: 2052
OMB NO: 3235-0310 EXPIRATION DATE: 04/30/2009
RESPS:5,015 HOURS:1,254 COSTS(000):$0
Rule 22d-1 under the Investment Company Act of 1940 - Exemption
from section 22(d) to permit sales of redeemable securities at
prices which reflect sales loads set pursuant to a schedule.
FORMS: NONE
OMB NO: 3235-0311 EXPIRATION DATE: 03/31/2008
RESPS:3 HOURS:25 COSTS(000):$1
Rule 7d-1 (17 CFR 270.7d-1) under the Investment Company Act of
1940. Specification of conditions and arrangements for Canadian
(or other foreign management investment companies requesting an
FORMS: NONE
OMB NO: 3235-0313 EXPIRATION DATE: 07/31/2008
RESPS:1,556 HOURS:594 COSTS(000):$0
Rule 203-2 and Form ADV-W under the Investment Advisers Act of
1940
FORMS: SEC-0777
OMB NO: 3235-0316 EXPIRATION DATE: 07/31/2007
RESPS:38 HOURS:34,674 COSTS(000):$1,386
Form N-3 under the Securities Act of 1933 and under the
Investment Company Act of 1940, registration statement of
separate accounts organized as management investment companies
FORMS: SEC-2124
OMB NO: 3235-0318 EXPIRATION DATE: 03/31/2007
RESPS:1,399 HOURS:288,701 COSTS(000):$28,185
Form N-4 (17 CFR 239.17b) under the Securities Act of 1933 and
(17 CFR 274.11c) under the Investment Company Act of 1940,
registration statement of separate accounts organized as ......
FORMS: 2125
OMB NO: 3235-0324 EXPIRATION DATE: 04/30/2009
RESPS:619 HOURS:628,273 COSTS(000):$565,446
Form S-4 - Registration Statement
FORMS: 2077
OMB NO: 3235-0325 EXPIRATION DATE: 01/31/2008
RESPS:68 HOURS:24,598 COSTS(000):$22,138
Form F-4 - Registration Statement
FORMS: SEC-2078
OMB NO: 3235-0327 EXPIRATION DATE: 04/30/2009
RESPS:782 HOURS:78 COSTS(000):$0
Form SE - EDGAR Exhibits
FORMS: 2082
OMB NO: 3235-0328 EXPIRATION DATE: 04/30/2009
RESPS:196,800 HOURS:29,520 COSTS(000):$0
Form ID - EDGAR Password
FORMS: 2084
OMB NO: 3235-0330 EXPIRATION DATE: 06/30/2009
RESPS:7,430 HOURS:107,203 COSTS(000):$0
Form N-SAR under the Investment Company Act of 1940, Semi-Annual
Report for Registered Investment Companies
FORMS: SEC-2100
OMB NO: 3235-0336 EXPIRATION DATE: 03/31/2008
RESPS:179 HOURS:235,010 COSTS(000):$8,460
Form N-14, for the registration of securities under the
Securities Act of 1933 issued in business combination
transaction by investment companies and business development
companies.
FORMS: SEC2106
OMB NO: 3235-0337 EXPIRATION DATE: 09/30/2006
RESPS:1,210 HOURS:3,765 COSTS(000):$0
Transfer Agents Annual Report 17 CFR 240.17Ac2-2, Form TA-2
FORMS: 2113
OMB NO: 3235-0341 EXPIRATION DATE: 02/28/2007
RESPS:70 HOURS:35 COSTS(000):$0
Notices regarding exempt transfer agent status 17 CFR
240.17Ad-4(b) & (c)
FORMS: NONE
OMB NO: 3235-0345 EXPIRATION DATE: 07/31/2008
RESPS:2,525 HOURS:11,638 COSTS(000):$0
Rule 206(4)-4 under the Investment Adviser Act of 1940 [17 CFR
275.206(4)-4]
FORMS: NONE
OMB NO: 3235-0346 EXPIRATION DATE: 04/30/2009
RESPS:37,000 HOURS:89,143 COSTS(000):$0
Rule 34b-1 (17 CFR 270.34b-1) under the Investment Company Act
of 1940, Sales Literature Deemed to be Misleading.
FORMS: NONE
OMB NO: 3235-0354 EXPIRATION DATE: 12/31/2008
RESPS:6,492 HOURS:28 COSTS(000):$349
Rule 19b-1 [17 CFR 270.19b-1] under the Investment Company Act
of 1940 - Frequency of Distribution of Capital Gains
FORMS: NONE
OMB NO: 3235-0357 EXPIRATION DATE: 12/31/2007
RESPS:1 HOURS:1 COSTS(000):$0
Regulation S Rules Governing Offers and Sales Made Outside the
United States Without Registration Under the Securities Act of
1933
FORMS: NONE
OMB NO: 3235-0358 EXPIRATION DATE: 06/30/2009
RESPS:1,150 HOURS:2,300 COSTS(000):$0
Rule 11a-3 under the Investment Company Act of 1940 - Offers of
Exchange by Open-End Investment Companies Other Than Separate
Accounts.
FORMS: NONE
OMB NO: 3235-0359 EXPIRATION DATE: 06/30/2009
RESPS:180 HOURS:360 COSTS(000):$0
Investment Company Act Form N-17f-1, Certificate of Accounting
of Securities and similar Investments of a Management Investment
Company in the Custody of Members of National Securities Exchange
FORMS: SEC-2205
OMB NO: 3235-0360 EXPIRATION DATE: 07/31/2009
RESPS:420 HOURS:896 COSTS(000):$0
Form N-17f-2, "Certificate of Accounting of Securities and
Similar Investments in the Custody of Management Investment
Companies," filed pursuant to Investment Company Act Rule
FORMS: SEC2198
OMB NO: 3235-0361 EXPIRATION DATE: 06/30/2009
RESPS:231 HOURS:12 COSTS(000):$0
Form ADV-E, cover sheet for each certificate of accounting of
client securities and funds in custody of an investment adviser.
FORMS: SEC-2223
OMB NO: 3235-0362 EXPIRATION DATE: 01/31/2008
RESPS:12,000 HOURS:12,000 COSTS(000):$0
Form 5 - Annual Statement of Beneficial Ownership
FORMS: SEC-2270
OMB NO: 3235-0371 EXPIRATION DATE: 08/31/2007
RESPS:2,000 HOURS:6,000 COSTS(000):$0
Rule 15a-6; Foreign Broker-Dealer Exemption
FORMS: NONE
OMB NO: 3235-0372 EXPIRATION DATE: 03/31/2007
RESPS:12,000 HOURS:123,850 COSTS(000):$0
Municipal Securities Disclosure (17 CFR 240.15c2-12)
FORMS: NONE
OMB NO: 3235-0375 EXPIRATION DATE: 01/31/2007
RESPS:3 HOURS:6 COSTS(000):$0
Schedule 13E-4F
FORMS: SEC-2283
OMB NO: 3235-0376 EXPIRATION DATE: 12/31/2006
RESPS:5 HOURS:10 COSTS(000):$0
Schedule 14D-1F-Tender Offer Statement
FORMS: SEC-2296
OMB NO: 3235-0377 EXPIRATION DATE: 06/30/2009
RESPS:18 HOURS:113 COSTS(000):$101
Form F-9
FORMS: SEC-2291
OMB NO: 3235-0378 EXPIRATION DATE: 12/31/2006
RESPS:10 HOURS:2 COSTS(000):$2
Form F-8-Registration Statement
FORMS: SEC-2290
OMB NO: 3235-0379 EXPIRATION DATE: 01/31/2007
RESPS:129 HOURS:258 COSTS(000):$0
Form F-X
FORMS: SEC-2288
OMB NO: 3235-0380 EXPIRATION DATE: 06/30/2009
RESPS:75 HOURS:469 COSTS(000):$422
Form F-10
FORMS: SEC-2292
OMB NO: 3235-0381 EXPIRATION DATE: 09/30/2007
RESPS:125 HOURS:13,344 COSTS(000):$12,009
Form 40-F
FORMS: SEC-2285
OMB NO: 3235-0382 EXPIRATION DATE: 12/31/2006
RESPS:5 HOURS:10 COSTS(000):$0
Schedule 14D-9F-Canadian Securities
FORMS: SEC-2286
OMB NO: 3235-0383 EXPIRATION DATE: 12/31/2006
RESPS:5 HOURS:5 COSTS(000):$4
Form F-7 - Registration Statement
FORMS: SEC-2289
OMB NO: 3235-0385 EXPIRATION DATE: 09/30/2008
RESPS:37,440 HOURS:25,896 COSTS(000):$0
Rule 15g-9, Sales Practice Requirements for Certain Low-Priced
Securities
FORMS: NONE
OMB NO: 3235-0391 EXPIRATION DATE: 12/31/2006
RESPS:15 HOURS:64 COSTS(000):$57
Form T-6
FORMS: SEC-2275
OMB NO: 3235-0392 EXPIRATION DATE: 06/30/2009
RESPS:1,620,000 HOURS:24,000 COSTS(000):$0
Rule 15g-3; Broker-Dealer Disclosure of Quotations and other
Information Relating to the Penny Stock Market
FORMS: NONE
OMB NO: 3235-0393 EXPIRATION DATE: 06/30/2009
RESPS:1,620,000 HOURS:24,000 COSTS(000):$0
Rule 15g-4; Disclosure of compensation to brokers or dealers.
FORMS: NONE
OMB NO: 3235-0394 EXPIRATION DATE: 06/30/2009
RESPS:1,620,000 HOURS:24,000 COSTS(000):$0
Rule 15g-5; Disclosure of Compensation of Associated Persons in
Connection with Penny Stock Transactions
FORMS: NONE
OMB NO: 3235-0395 EXPIRATION DATE: 06/30/2009
RESPS:432,000 HOURS:21,600 COSTS(000):$0
Rule 15g-6; Account Statements for Penny Stock Customers
FORMS: NONE
OMB NO: 3235-0404 EXPIRATION DATE: 11/30/2006
RESPS:4 HOURS:8 COSTS(000):$2
Form F-80 - Canadian Securities
FORMS: 2282
OMB NO: 3235-0409 EXPIRATION DATE: 01/31/2007
RESPS:900 HOURS:36,000 COSTS(000):$0
Notices regarding acceptance or rejection of securities transfer
guarantees. 17 CFR 240.17Ad-15
FORMS: NONE
OMB NO: 3235-0410 EXPIRATION DATE: 12/31/2006
RESPS:790 HOURS:3,820 COSTS(000):$0
Rule 17h-1T (17 CFR 240.17h-1T); Risk assessment record-keeping
requirements for associated persons of brokers and dealers Rule
17h-2T (17 CFR 240.17h-2T); Risk assessment reporting requirement
FORMS: NONE
OMB NO: 3235-0411 EXPIRATION DATE: 09/30/2006
RESPS:5 HOURS:5 COSTS(000):$0
Rule 489 [17 CFR 230.489] under the Securities Act of
1933-Filing of Form by Foreign Banks and Certain of their
Holding Companies and Finance Subsidiaries Form F-N under the
Securities Act of
FORMS: 2306
OMB NO: 3235-0413 EXPIRATION DATE: 04/30/2007
RESPS:6,500 HOURS:1,575 COSTS(000):$0
Notice of Assumption or Termination of Transfer Agent Services
(17 C.F.R. 240.17Ad-16)
FORMS: NONE
OMB NO: 3235-0416 EXPIRATION DATE: 03/31/2007
RESPS:11,299 HOURS:1,540,458 COSTS(000):$151,786
Form 10-QSB
FORMS: 2334
OMB NO: 3235-0417 EXPIRATION DATE: 04/30/2009
RESPS:1 HOURS:1 COSTS(000):$0
Regulation S-B-Integrated Disclosure System for Small Business
Issuers
FORMS: 2345
OMB NO: 3235-0418 EXPIRATION DATE: 04/30/2009
RESPS:885 HOURS:137,839 COSTS(000):$124,055
Form SB-2-Registration Statement for Small Business Issuers
FORMS: 2335
OMB NO: 3235-0419 EXPIRATION DATE: 04/30/2009
RESPS:166 HOURS:6,765 COSTS(000):$6,088
Exchange Act Form 10-SB
FORMS: 2336
OMB NO: 3235-0420 EXPIRATION DATE: 04/30/2009
RESPS:3,504 HOURS:4,417,668 COSTS(000):$441,767
Exchange Act Form 10-KSB
FORMS: 2337
OMB NO: 3235-0422 EXPIRATION DATE: 07/31/2007
RESPS:352 HOURS:4,032 COSTS(000):$959
Rule 23c-3 (17 CFR 270.23-3) under the Investment Company Act of
1940, Repurchase Offers by Closed-End Companies Form N-23c-3 (17
CFR 274.221) under the Investment Company Act of 1940,
FORMS: SEC-2380
OMB NO: 3235-0423 EXPIRATION DATE: 11/30/2006
RESPS:17 HOURS:3,009 COSTS(000):$2,708
Form SB-1-Securities Act Registration Statement
FORMS: 2338
OMB NO: 3235-0424 EXPIRATION DATE: 09/30/2008
RESPS:1 HOURS:1 COSTS(000):$0
Regulation S-T-General Rules and Regulations for Electronic
Filings
FORMS: 2351
OMB NO: 3235-0425 EXPIRATION DATE: 05/31/2009
RESPS:70 HOURS:23 COSTS(000):$0
Form TH (Notification of Reliance of Temporary Hardship Exeption)
FORMS: SEC-2348
OMB NO: 3235-0434 EXPIRATION DATE: 09/30/2008
RESPS:37,440 HOURS:7,176 COSTS(000):$17
Rule 15-g2 (17 CFR 240.15g-2) Risk disclosure document relating
to the Penny Stock Rules
FORMS: NONE
OMB NO: 3235-0435 EXPIRATION DATE: 03/31/2007
RESPS:19,900,000 HOURS:94,528 COSTS(000):$0
Rule 11Ac1-3, 17 CFR 240.11Ac1-3: Customer Account Statements
FORMS: NONE
OMB NO: 3235-0441 EXPIRATION DATE: 04/30/2009
RESPS:571 HOURS:5,710 COSTS(000):$0
Rule 18f-3 (17 CFR 270.18f-3) under the Investment Company Act
of 1940, Multiple class companies
FORMS: NONE
OMB NO: 3235-0444 EXPIRATION DATE: 05/31/2007
RESPS:2,540,000 HOURS:42,300,000 COSTS(000):$2,260,000
Confirmation of Securities Transactions (17 C.F.R. 240.10b-10)
FORMS: NONE
OMB NO: 3235-0447 EXPIRATION DATE: 05/31/2007
RESPS:2,154 HOURS:2,154 COSTS(000):$0
Rule 17f-6 [17 CFR 270.17f-6], "Custody of Investment Company
Assets with Futures Commission Merchants and Commodity Clearing
Organizations."
FORMS: NONE
OMB NO: 3235-0452 EXPIRATION DATE: 03/31/2007
RESPS:4 HOURS:1 COSTS(000):$0
Notice of Exempt Preliminary Roll-Up Communication
FORMS: NONE
OMB NO: 3235-0456 EXPIRATION DATE: 06/30/2009
RESPS:5,509 HOURS:11,018 COSTS(000):$0
Form 24F-2 (17 CFR 274.24) -- Annual Notice of Securities Sold
Pursuant to Rule 24f-2
FORMS: SEC-2393
OMB NO: 3235-0459 EXPIRATION DATE: 08/31/2007
RESPS:21,159,800 HOURS:6,512,503 COSTS(000):$0
Rule 3a-4 (17 CFR 270.3a-4) under the Investment Company Act of
1940, "Status of Investment Advisory Progrms."
FORMS: NONE
OMB NO: 3235-0461 EXPIRATION DATE: 02/28/2007
RESPS:246,788,005 HOURS:205,486 COSTS(000):$66
Dissemination of Quotations -- Rule 11Ac1-1
FORMS: NONE
OMB NO: 3235-0462 EXPIRATION DATE: 11/30/2007
RESPS:825,257,160 HOURS:228,735 COSTS(000):$0
Rule 11Ac1-4; Display of Customer Limit Orders
FORMS: NONE
OMB NO: 3235-0463 EXPIRATION DATE: 09/30/2008
RESPS:23 HOURS:6 COSTS(000):$0
"Tell Us How We're Doing"
FORMS: NONE
OMB NO: 3235-0464 EXPIRATION DATE: 06/30/2008
RESPS:1,358 HOURS:31,090 COSTS(000):$0
Rule 101, 17 CFR 242.101 (Activities by Distribution
Participants)
FORMS: NONE
OMB NO: 3235-0465 EXPIRATION DATE: 06/30/2008
RESPS:519 HOURS:310 COSTS(000):$0
Rule 104, 17 CFR 242.104 (Stabilizing and other activities in
connection with an offering)
FORMS: NONE
OMB NO: 3235-0466 EXPIRATION DATE: 07/31/2008
RESPS:171 HOURS:171 COSTS(000):$0
Rule 103, 17 CFR 242.103 (Nasdaq Passive Market Making)
FORMS: NONE
OMB NO: 3235-0467 EXPIRATION DATE: 07/31/2008
RESPS:669 HOURS:1,569 COSTS(000):$0
Rule 102, 17 CFR 242.102 (Activities by Issuers or Selling
Securityholders During a Distribution)
FORMS: NONE
OMB NO: 3235-0468 EXPIRATION DATE: 10/31/2008
RESPS:10 HOURS:10 COSTS(000):$0
Rule 10A-1 under the Securities Exchange Act of 1934
FORMS: RULE-10A-1
OMB NO: 3235-0469 EXPIRATION DATE: 10/31/2008
RESPS:230,000 HOURS:4,125 COSTS(000):$3,300
Transfer Agents' Obligation to Search for Lost Securityholders
(17 CFR 240.17Ad-17)
FORMS: NONE
OMB NO: 3235-0471 EXPIRATION DATE: 03/31/2009
RESPS:3,600 HOURS:3,600 COSTS(000):$360
Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control.
FORMS: NONE
OMB NO: 3235-0472 EXPIRATION DATE: 03/31/2009
RESPS:7,250 HOURS:7,250 COSTS(000):$725
Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in
Distribution.
FORMS: NONE
OMB NO: 3235-0473 EXPIRATION DATE: 12/31/2008
RESPS:2 HOURS:2 COSTS(000):$0
Rule 17Ad-3(b)(17 CFR 240.17Ad-3); Notice to Issuers of Non-
Compliance with Transfer Agent Turnaround Standards.
FORMS: NONE
OMB NO: 3235-0476 EXPIRATION DATE: 02/28/2009
RESPS:29,430 HOURS:4,905 COSTS(000):$0
Rule 10b-17, Untimely announcement of record dates (17 CFR 240.
10b-17)
FORMS: NONE
OMB NO: 3235-0478 EXPIRATION DATE: 04/30/2009
RESPS:20,000 HOURS:333 COSTS(000):$0
Rule 11a1-1(T); Transactions yielding priority, parity, and
precedence (17 CFR 240.11a1-1(T))
FORMS: NONE
OMB NO: 3235-0479 EXPIRATION DATE: 04/30/2009
RESPS:900 HOURS:11 COSTS(000):$0
Rule 15c2-7, Identification of Quotations (17 CFR 240.15c2-7)
FORMS: NONE
OMB NO: 3235-0480 EXPIRATION DATE: 06/30/2009
RESPS:160 HOURS:2,648 COSTS(000):$0
Options Disclosure Document. Securities Exchange Act of 1934
Rule 9b-1 (17 CFR 240.9b-1).
FORMS: NONE
OMB NO: 3235-0481 EXPIRATION DATE: 05/31/2009
RESPS:580 HOURS:10,600 COSTS(000):$0
Rule 15c2-8, 17 CFR 240.15c2-8 Delivery of Prospectus
FORMS: NONE
OMB NO: 3235-0482 EXPIRATION DATE: 01/31/2007
RESPS:500 HOURS:100 COSTS(000):$0
Form DF
FORMS: SEC2452
OMB NO: 3235-0485 EXPIRATION DATE: 04/30/2009
RESPS:6,525 HOURS:3,263 COSTS(000):$0
Rule 15c2-1; Hypothecation of Customer Securities.
FORMS: NONE
OMB NO: 3235-0488 EXPIRATION DATE: 04/30/2009
RESPS:316 HOURS:3,181 COSTS(000):$954
Rule 498 under the Securities Act of 1933, Profiles for Certain
Open-End Management Investment Companies
FORMS: NONE
OMB NO: 3235-0489 EXPIRATION DATE: 09/30/2006
RESPS:1 HOURS:8 COSTS(000):$1
Securities Exchange Act of 1934 Rule 17a-6 (17 CFR 240.17a-6);
Right of National Securities Exchange, National Securities
Association, Registered Clearing Agency or the Municipal
FORMS: NONE
OMB NO: 3235-0494 EXPIRATION DATE: 03/31/2007
RESPS:1,466 HOURS:88,693 COSTS(000):$8,796
Rule 30e-2 under the Investment Company Act of 1940, "Reports to
Shareholders of Unit Investment Trusts."
FORMS: NONE
OMB NO: 3235-0495 EXPIRATION DATE: 05/31/2007
RESPS:500 HOURS:10,500 COSTS(000):$0
Rule 154 under the Securities Act of 1933, "Delivery of
Prospectuses to Investors at the Same Address."
FORMS: NONE
OMB NO: 3235-0496 EXPIRATION DATE: 06/30/2007
RESPS:6 HOURS:6,000 COSTS(000):$106
Rule 15c3-1f (Appendix F to Rule 15c3-1), Optional Market and
Credit Risk Requirements for OTC Derivatives Dealers
FORMS: NONE
OMB NO: 3235-0497 EXPIRATION DATE: 01/31/2007
RESPS:18 HOURS:1,200 COSTS(000):$301
Rule 15c3-4; Internal Risk Management Control Systems.
FORMS: NONE
OMB NO: 3235-0498 EXPIRATION DATE: 06/30/2007
RESPS:30 HOURS:1,080 COSTS(000):$0
Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.
FORMS: NONE
OMB NO: 3235-0500 EXPIRATION DATE: 05/31/2008
RESPS:12 HOURS:553 COSTS(000):$0
Filing and Amendment of National Market System Plans (17 CFR
240.11Aa3-2)
FORMS: NONE
OMB NO: 3235-0503 EXPIRATION DATE: 03/31/2007
RESPS:550 HOURS:52,100 COSTS(000):$2,825
Form N-6 (17 CFR 239.17c) under the Securities Act of 1933 and
(17 CFR 274.11d) under the Investment Company Act of 1940,
registration statement of separate accounts organized as........
FORMS: 2567
OMB NO: 3235-0504 EXPIRATION DATE: 06/30/2007
RESPS:50 HOURS:50 COSTS(000):$0
Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR
240.19b-4(e))
FORMS: 19B-4(E) SEC2449 17CFR249.820
OMB NO: 3235-0505 EXPIRATION DATE: 10/31/2007
RESPS:50 HOURS:200 COSTS(000):$0
Rule 303 (17 CFR 242.303) Record Preservation Requirements for
Alternative Trading Systems
FORMS: NONE
OMB NO: 3235-0506 EXPIRATION DATE: 11/30/2007
RESPS:105 HOURS:315 COSTS(000):$0
Rule 17a-4(b)(11); Records to be preserved by certain exchange
members, brokers and dealers.
FORMS: NONE
OMB NO: 3235-0507 EXPIRATION DATE: 10/31/2007
RESPS:6 HOURS:252 COSTS(000):$0
Rule 19b-5 Under the Securities Exchange Act of 1934 (17 CFR
240.19b-5); Pilot Trading System Rule Filing Requirements
FORMS: PILOT(SEC-2552)
OMB NO: 3235-0508 EXPIRATION DATE: 11/30/2007
RESPS:105 HOURS:2,835 COSTS(000):$0
Rule 17a-3(a)(16); Records to be made by certain exchange
members, brokers and dealers.
FORMS: NONE
OMB NO: 3235-0509 EXPIRATION DATE: 10/31/2007
RESPS:379 HOURS:1,533 COSTS(000):$31
Rule 301 (17 CFR 242.301) Requirements for Alternative Trading
Systems that are not National Securities Exchanges
FORMS: ATS ATS-R
OMB NO: 3235-0510 EXPIRATION DATE: 10/31/2007
RESPS:50 HOURS:1,800 COSTS(000):$0
Rule 302 (17 CFR 242.302) Recordkeeping Requirements for
Alterna- tive Trading Systems
FORMS: NONE
OMB NO: 3235-0514 EXPIRATION DATE: 11/30/2007
RESPS:7,335 HOURS:3,668 COSTS(000):$0
Rule 8c-1, Hypothecation of customer's securities
FORMS: NONE
OMB NO: 3235-0515 EXPIRATION DATE: 04/30/2008
RESPS:2,500 HOURS:54,375 COSTS(000):$16,313
Schedule TO
FORMS: 2559
OMB NO: 3235-0518 EXPIRATION DATE: 05/31/2008
RESPS:200 HOURS:25 COSTS(000):$23
Form CB, Tender Offer/Rights Offering Notification Form
FORMS: SEC-2560
OMB NO: 3235-0521 EXPIRATION DATE: 03/31/2008
RESPS:2,000 HOURS:500 COSTS(000):$0
Rule 425
FORMS: NONE
OMB NO: 3235-0522 EXPIRATION DATE: 04/30/2008
RESPS:300 HOURS:150 COSTS(000):$135
Rule 701-Exemption for offers and sales of securities pursuant
to certain compensatory benefit plans and contracts relating to
compensation.
FORMS: NONE
OMB NO: 3235-0527 EXPIRATION DATE: 07/31/2008
RESPS:195 HOURS:33 COSTS(000):$0
Rule 7d-2 (17 CFR 270.7d-2) under the Investment Company Act of
1940, Definition of "public offering" as used in section 7(d) of
the Act with respect to certain Canadian tax-deferred
FORMS: NONE
OMB NO: 3235-0528 EXPIRATION DATE: 07/31/2008
RESPS:105 HOURS:18 COSTS(000):$0
Rule 237 (17 CFR 230.237) under the Securities Act of 1933,
Exemption for offers and sales to certain Canadian tax-deferred
retirement savings accounts
FORMS: NONE
OMB NO: 3235-0529 EXPIRATION DATE: 12/31/2008
RESPS:3,980 HOURS:49,600 COSTS(000):$0
Rule 17f-7 (17 CFR 270.17f-7) under the Investment Company Act
of 1940, Custody of Investment Company Assets with A Foreign
Securities Depository
FORMS: NONE
OMB NO: 3235-0530 EXPIRATION DATE: 03/31/2009
RESPS:8,444 HOURS:1,200 COSTS(000):$400
Rule 32a-4 (17 CFR Sec. 270.32a-4) under the Investment Company
Act of 1940, "Independent Audit Committees"
FORMS: NONE
OMB NO: 3235-0531 EXPIRATION DATE: 04/30/2009
RESPS:1,290 HOURS:968 COSTS(000):$0
Rule 0-1 (17 C.F.R. Section 270.0-1) under the Investment
Company Act of 1940, Definition of terms used in this part.
FORMS: NONE
OMB NO: 3235-0532 EXPIRATION DATE: 10/31/2006
RESPS:8,100 HOURS:673 COSTS(000):$0
Rule 202(a)(11)-1 under the Investment Advisers Act of 1940-
Certain Broker-Dealers Deemed Not To Be Investment Advisers
FORMS: NONE
OMB NO: 3235-0536 EXPIRATION DATE: 04/30/2009
RESPS:58,000 HOURS:72,500 COSTS(000):$65,250
Regulation FD - Other Disclosure Materials
FORMS: 2459
OMB NO: 3235-0537 EXPIRATION DATE: 07/31/2009
RESPS:1 HOURS:494,835 COSTS(000):$0
Regulation S-P; Privacy of consumer financial information (17
CFR Part 248)
FORMS: NONE
OMB NO: 3235-0538 EXPIRATION DATE: 07/31/2008
RESPS:10 HOURS:13 COSTS(000):$0
Rule 203-3 and Form ADV-H under the Investment Advisers Act of
1940
FORMS: SEC-2566
OMB NO: 3235-0540 EXPIRATION DATE: 11/30/2006
RESPS:18,200 HOURS:2,695 COSTS(000):$0
Rule 17a-25, Electronic Submission Trading Data by Exchange
Members, Brokers, and Dealers. (17 CFR 240.17a-25).
FORMS: NONE
OMB NO: 3235-0541 EXPIRATION DATE: 02/28/2007
RESPS:3,760 HOURS:282,400 COSTS(000):$0
Rule 11Ac1-6
FORMS: \
OMB NO: 3235-0542 EXPIRATION DATE: 02/28/2007
RESPS:4,404 HOURS:26,424 COSTS(000):$2,527
Rule 11Ac1-5
FORMS: NONE
OMB NO: 3235-0545 EXPIRATION DATE: 12/31/2006
RESPS:2,965 HOURS:1 COSTS(000):$1
Rule 27e-1 1 [17 C.F.R. Sec. 270.27e-1] "Requirements for Notice
to Be Mailed to Certain Purchasers of Periodic Payment Plan
Certificates Sold Subject to Section 27(d) of the Act" and Form
FORMS: SEC-1928
OMB NO: 3235-0546 EXPIRATION DATE: 12/31/2006
RESPS:3 HOURS:1 COSTS(000):$4
Rule 27f-1 (17 C.F.R. 270.27f-1),"Notice of Right of Withdrawal
to be Mailed to Periodic Payment Plan Certificate Holders and
Exemption from Section 27(f) for Certain Periodic Payment Plan...
FORMS: SEC-1929
OMB NO: 3235-0547 EXPIRATION DATE: 08/31/2008
RESPS:20,000 HOURS:5,000 COSTS(000):$0
SEC Investor Complaint Forms; SEC Investor Question Form
FORMS: NONE
OMB NO: 3235-0548 EXPIRATION DATE: 04/30/2007
RESPS:24 HOURS:480 COSTS(000):$0
Rule 35d-1 under the Investment Company Act of 1940, Investment
Company Names
FORMS: NONE
OMB NO: 3235-0549 EXPIRATION DATE: 08/31/2007
RESPS:600 HOURS:1,200 COSTS(000):$360
Securities Act Rule 155
FORMS: NONE
OMB NO: 3235-0550 EXPIRATION DATE: 08/31/2007
RESPS:300 HOURS:300 COSTS(000):$0
Securities Act Rule 477
FORMS: NONE
OMB NO: 3235-0552 EXPIRATION DATE: 08/31/2006
RESPS:200 HOURS:1 COSTS(000):$0
Rule 87, 17 CFR 250.87, Subsidiaries authorized to perform
services or construction or to sell goods.
FORMS: 1306
OMB NO: 3235-0553 EXPIRATION DATE: 10/31/2007
RESPS:120 HOURS:1,860 COSTS(000):$0
Rule 19b-7 Under the Securities Exchange Act of 1934 and Form
19b-7 under the Securities Exchange Act of 1934
FORMS: 19B-7
OMB NO: 3235-0554 EXPIRATION DATE: 10/31/2007
RESPS:189 HOURS:420 COSTS(000):$0
Rule 6a-4 under the Securities Exchange Act of 1934 and Form 1-N
under the Securities Exchange Act of 1934
FORMS: 1-N
OMB NO: 3235-0555 EXPIRATION DATE: 11/30/2007
RESPS:17 HOURS:170 COSTS(000):$0
Rule 6h-1 Under the Securities Exchange Act of 1934
FORMS: NONE
OMB NO: 3235-0556 EXPIRATION DATE: 11/30/2007
RESPS:79 HOURS:36 COSTS(000):$0
Form BD-N/Rule 15b11-1. Application for registration as a notice
registered broker-dealer.
FORMS: NONE
OMB NO: 3235-0559 EXPIRATION DATE: 12/31/2008
RESPS:25 HOURS:100 COSTS(000):$0
Exemption for Certain Investment Advisers Operating Through the
Internet (Rule 203A-2(f))
FORMS: NONE
OMB NO: 3235-0560 EXPIRATION DATE: 07/31/2008
RESPS:2 HOURS:22 COSTS(000):$0
Rule 27d-1 (17 CFR 270.27d-1) under the Investment Company Act
of 1940 "Reserve Requirements for Principal Underwriters and
Depositors to Carry Out the Obligations to Refund Charges
FORMS: SEC-1840
OMB NO: 3235-0561 EXPIRATION DATE: 07/31/2008
RESPS:78 HOURS:117 COSTS(000):$0
Rule 12d3-1 Exemption of acquisitions of securities issued by
persons engaged in securities related businesses
FORMS: NONE
OMB NO: 3235-0562 EXPIRATION DATE: 07/31/2008
RESPS:1 HOURS:1 COSTS(000):$0
Rule 17d-1 Applications regarding joint enterprises or
arrangements and certain profit-sharing plans
FORMS: NONE
OMB NO: 3235-0563 EXPIRATION DATE: 07/31/2008
RESPS:78 HOURS:117 COSTS(000):$0
Rule 17a-10 Exemption for transactions with certain subadvisory
affiliates
FORMS: NONE
OMB NO: 3235-0564 EXPIRATION DATE: 07/31/2008
RESPS:1 HOURS:1 COSTS(000):$0
Rule 17a-6 Exemption for transactions with portfolio affiliates
FORMS: NONE
OMB NO: 3235-0565 EXPIRATION DATE: 07/31/2008
RESPS:56,936 HOURS:293,790 COSTS(000):$0
Rule 482 under the Securities Act of 1933 Advertising by an
Investment Company as Satisfying Requirements of Section 10
FORMS: NONE
OMB NO: 3235-0566 EXPIRATION DATE: 07/31/2008
RESPS:6 HOURS:14 COSTS(000):$0
Rule 27d-2 (17 CFR 270.27d-2) under the Investment Company Act
of 1940, "Insurance Company Undertaking in Lieu of Segregated
Trust Account."
FORMS: NONE
OMB NO: 3235-0570 EXPIRATION DATE: 09/30/2007
RESPS:7,400 HOURS:143,854 COSTS(000):$1,228
Form N-CSR under the Investment Company Act of 1940 and the
Securities Exchange Act of 1934, Certified Shareholder Reports
FORMS: NONE
OMB NO: 3235-0571 EXPIRATION DATE: 07/31/2008
RESPS:501,364 HOURS:123,130 COSTS(000):$0
Rule 206(4)-6 Under the Investment Advisers Act of 1940 [17 CFR
275.206(4)-6]
FORMS: NONE
OMB NO: 3235-0572 EXPIRATION DATE: 04/30/2009
RESPS:1,771 HOURS:3,542 COSTS(000):$531
Reports of Evidence of Material Violations
FORMS: NONE
OMB NO: 3235-0574 EXPIRATION DATE: 04/30/2009
RESPS:2,190 HOURS:1 COSTS(000):$0
Rule 3a-8 under the Investment Company Act; Certain Research and
Development Companies
FORMS: NONE
OMB NO: 3235-0575 EXPIRATION DATE: 04/30/2009
RESPS:659,211 HOURS:11,296 COSTS(000):$0
Regulation AC
FORMS: NONE
OMB NO: 3235-0576 EXPIRATION DATE: 02/28/2009
RESPS:84,000 HOURS:42,000 COSTS(000):$1,092
Regulation G
FORMS: NONE
OMB NO: 3235-0577 EXPIRATION DATE: 02/28/2009
RESPS:1 HOURS:1 COSTS(000):$0
Rule 30b1-5 under the Investment Company Act of 1940, "Quarterly
Report" Originally submitted and approved as Proposed Rule
30b1-4 under the Investment Company Act of 1940, "Quaraterly
Report"
FORMS: NONE
OMB NO: 3235-0578 EXPIRATION DATE: 05/31/2007
RESPS:9,706 HOURS:204,673 COSTS(000):$0
Form N-Q, quarterly schedule of portfolio holdings of registered
management investment company
FORMS: NONE
OMB NO: 3235-0579 EXPIRATION DATE: 02/28/2009
RESPS:6,150 HOURS:2,357 COSTS(000):$253
Regulation BTR
FORMS: NONE
OMB NO: 3235-0582 EXPIRATION DATE: 04/30/2009
RESPS:7,900 HOURS:72,483 COSTS(000):$0
Form N-PX under the Investment Company Act of 1940, Annual
Report of Proxy Voting Record
FORMS: SEC-2451
OMB NO: 3235-0584 EXPIRATION DATE: 12/31/2006
RESPS:2,621 HOURS:21,175 COSTS(000):$76
Proposed rule 12d1-1 (17 CFR 270.12d1-1) under the Investment
Company Act of 1940, Exemptions for investments in money market
funds
FORMS: NONE
OMB NO: 3235-0585 EXPIRATION DATE: 07/31/2008
RESPS:9,728 HOURS:716,800 COSTS(000):$0
Investment Advisers Act rule 206(4)-7, 17 C.F.R. Sec.
275.206(4)- 7, Compliance procedures and practices.
FORMS: NONE
OMB NO: 3235-0586 EXPIRATION DATE: 01/31/2007
RESPS:15,249 HOURS:332,937 COSTS(000):$0
Investment Company Act rule 38a-1, 17 C.F.R. Sec. 270.38a-1,
Compliance procedures and practices of registered investment
companies.
FORMS: NONE
OMB NO: 3235-0587 EXPIRATION DATE: 01/31/2007
RESPS:347 HOURS:3,232 COSTS(000):$0
Investment Company Act rule 15a-5, 17 C.F.R. Sec. 270.15a-5,
Exemption from shareholder approval for certain subadvisory
contracts.
FORMS: NONE
OMB NO: 3235-0588 EXPIRATION DATE: 01/31/2007
RESPS:39 HOURS:1,080 COSTS(000):$4,125
Rule 17i-6 (17 CFR 240.17i-6): Reporting Requirements for
Supervised Investment Bank Holding Companies.
FORMS: NONE
OMB NO: 3235-0589 EXPIRATION DATE: 01/31/2007
RESPS:1,164,755,007 HOURS:161,900 COSTS(000):$0
Regulation SHO, Rule 201
FORMS: NONE
OMB NO: 3235-0590 EXPIRATION DATE: 01/31/2007
RESPS:3 HOURS:990 COSTS(000):$4,125
Rule 17i-5 (17 CFR 240.17i-5): Record Creation, Maintenance, and
Access Requirements for Supervised Investment Bank Holding
Companies.
FORMS: NONE
OMB NO: 3235-0591 EXPIRATION DATE: 01/31/2007
RESPS:1 HOURS:1 COSTS(000):$0
Rule 17i-8 (17 CFR 240.17i-8) Notification Requirements for
Supervised Invesment Bank Holding Companies
FORMS: NONE
OMB NO: 3235-0592 EXPIRATION DATE: 01/31/2007
RESPS:3 HOURS:3,072 COSTS(000):$0
Rule 17i-2 (17 CFR 240.17i-2); Notice of Intention to be
Supervised by the Commission as a Supervised Investment Bank
Holding Company.
FORMS: NONE
OMB NO: 3235-0593 EXPIRATION DATE: 01/31/2007
RESPS:1 HOURS:3 COSTS(000):$0
Rule 17i-3 (17 CFR 240.17i-3): Withdrawal from Supervision as an
Supervised Investment Bank Holding Company
FORMS: NONE
OMB NO: 3235-0594 EXPIRATION DATE: 01/31/2007
RESPS:3 HOURS:11,550 COSTS(000):$4,125
Rule 17i-4 (17 CFR 240.17i-4): Internal Risk Management Control
System Requirements for Supervised Investment Bank Holding
Companies.
FORMS: NONE
OMB NO: 3235-0595 EXPIRATION DATE: 03/31/2007
RESPS:84,323,108 HOURS:32,815 COSTS(000):$0
Investment Company Act rule 22c-1, 17 C.F.R. Sec. 270.22c-1,
Pricing of redeemable securities for distribution, redemption
and repurchase.
FORMS: NONE
OMB NO: 3235-0596 EXPIRATION DATE: 07/31/2008
RESPS:2,704,384 HOURS:1,083,842 COSTS(000):$0
Rule 204A-1
FORMS: NONE
OMB NO: 3235-0597 EXPIRATION DATE: 08/31/2007
RESPS:14 HOURS:1,897 COSTS(000):$12
Rule 31 - Section 31 transaction fees; Rule 31T - Temporary rule
regarding fiscal year 2004; Form R31 - Form for reporting
covered sales and covered round turn transactions under Section
31 of the
FORMS: R-31
OMB NO: 3235-0598 EXPIRATION DATE: 05/31/2007
RESPS:1,000,000,000 HOURS:18,700,000 COSTS(000):$1,150,000
Rule 15c2-2 Confirmation of transactions in open-end management
investment company shares, unit investment trust interests and
municipal fund securities used for education savings.
FORMS: NONE
OMB NO: 3235-0599 EXPIRATION DATE: 05/31/2007
RESPS:1,000,000,000 HOURS:18,700,000 COSTS(000):$1,150,000
Rule 15c2-3 Point-of-sale disclosure for purchase transactions
in open-end management investment company shares, unit
investment trust interests, and municipal fund securities used
for education
FORMS: NONE
OMB NO: 3235-0600 EXPIRATION DATE: 04/30/2008
RESPS:609 HOURS:134,520 COSTS(000):$9,135
Order Protection Rule - Rule 611 of Regulation NMS
FORMS: NONE
OMB NO: 3235-0603 EXPIRATION DATE: 06/30/2007
RESPS:117 HOURS:10 COSTS(000):$0
Rule 202(a)(11)-2
FORMS: NONE
OMB NO: 3235-0604 EXPIRATION DATE: 08/31/2007
RESPS:9,500 HOURS:213,750 COSTS(000):$21,375
Exchange Act Form 10-D
FORMS: NONE
OMB NO: 3235-0606 EXPIRATION DATE: 08/31/2007
RESPS:500,000 HOURS:50,000 COSTS(000):$0
Rule 776 of Regulation B - Exemption for Banks Effecting
Transactions for Certain Investors in Money Market Funds
FORMS: NONE
OMB NO: 3235-0607 EXPIRATION DATE: 08/31/2007
RESPS:100 HOURS:25 COSTS(000):$0
Rule 722 of Regulation B - Exemption for Banks From Determining
Whether They are "Chiefly Compensated" on an Account-by-Account
Basis
FORMS: NONE
OMB NO: 3235-0608 EXPIRATION DATE: 08/31/2007
RESPS:10,000 HOURS:1,000 COSTS(000):$0
Rule 770 of Regulation B - Exemption from Definition of "Broker"
for Banks that Effect Transactions in Securities in Certain
Employee Benefit Plans
FORMS: NONE
OMB NO: 3235-0609 EXPIRATION DATE: 08/31/2007
RESPS:4,074 HOURS:11,543 COSTS(000):$2
Regulation S-AM: Limitations on Affilate Marketing
FORMS: NONE
OMB NO: 3235-0610 EXPIRATION DATE: 11/30/2007
RESPS:1,110 HOURS:276,780 COSTS(000):$0
Rule 248.30; 17 C.F.R Sec. 248.30, Procedures to safegard
customer records and information; disposal of consumer report
information.
FORMS: NONE
OMB NO: 3235-0611 EXPIRATION DATE: 12/31/2007
RESPS:320 HOURS:4,800 COSTS(000):$507
Voluntary XBRL-Related Documents
FORMS: NONE
OMB NO: 3235-0612 EXPIRATION DATE: 06/30/2008
RESPS:100 HOURS:2,850 COSTS(000):$150
Rule 17a-26: Regulatory Reports of National Securities Exchanges
and Registered Securities Associations.
FORMS: NONE
OMB NO: 3235-0613 EXPIRATION DATE: 06/30/2008
RESPS:20,700 HOURS:10,840 COSTS(000):$26
Rule 6a-5 and 15Aa-3: Fair Administration and Goverance of
National Securities Exchange and Registered Securities
Associations
FORMS: NONE
OMB NO: 3235-0614 EXPIRATION DATE: 06/30/2008
RESPS:2 HOURS:177 COSTS(000):$1
Form 2 and Rules 15Aa-1 and 15Aa-2: Form of Application and
Amendments
FORMS: FORM-2
OMB NO: 3235-0615 EXPIRATION DATE: 06/30/2008
RESPS:72 HOURS:783 COSTS(000):$60
Regulation AL
FORMS: NONE
OMB NO: 3235-0616 EXPIRATION DATE: 06/30/2008
RESPS:100 HOURS:5,100 COSTS(000):$1
Rule 17a-27: Ownership of a National Securities Exchange,
Registered Securities Association, or Facility of a National
Securities Exchange or Registered Securities Association
FORMS: NONE
OMB NO: 3235-0617 EXPIRATION DATE: 01/31/2008
RESPS:3,650 HOURS:1,173 COSTS(000):$1,055
Rule 433
FORMS: NONE
OMB NO: 3235-0618 EXPIRATION DATE: 01/31/2008
RESPS:232,450 HOURS:3,874,167 COSTS(000):$0
Rule 173
FORMS: NONE
OMB NO: 3235-0619 EXPIRATION DATE: 01/31/2008
RESPS:53 HOURS:3 COSTS(000):$3
Rul 163
FORMS: NONE
OMB NO: 3235-0620 EXPIRATION DATE: 06/30/2009
RESPS:3,240,000 HOURS:2,429,500 COSTS(000):$253,040
Investment Company Act rule 22c-2, 17 CFR 270.22c-2 Mutual Fund
Redemption Fees
FORMS: NONE
OMB NO: 3235-0621 EXPIRATION DATE: 09/30/2007
RESPS:178 HOURS:1,335 COSTS(000):$1,202
Form 15F
FORMS: NONE
AGENCY TOTALS:
ACTIVE ANNUAL ANNUAL ANNUAL
REPORTS RESPONSES HOURS COSTS($000)
328 4,622,051,950 173,125,773 $9,957,280
Surface Transportation Board
OMB NO: 2140-0001 EXPIRATION DATE: 01/31/2009
RESPS:28 HOURS:7,595 COSTS(000):$0
Quarterly Report of Freight Commodity Statistics (Form QCS)
FORMS: NONE
OMB NO: 2140-0003 EXPIRATION DATE: 11/30/2006
RESPS:1 HOURS:58 COSTS(000):$0
System Diagram Maps and Financial Assistance of Railroad Lines
FORMS: NONE
OMB NO: 2140-0004 EXPIRATION DATE: 01/31/2009
RESPS:35 HOURS:1,120 COSTS(000):$0
Report of Railroad Employees, Service and Compensation (Wage
Forms A & B)
FORMS: NONE
OMB NO: 2140-0006 EXPIRATION DATE: 11/30/2008
RESPS:20 HOURS:1 COSTS(000):$0
Application to Open an Account for Billing Purposes
FORMS: STB-1032
OMB NO: 2140-0007 EXPIRATION DATE: 01/31/2009
RESPS:84 HOURS:105 COSTS(000):$0
Monthly Report of Number of Employees of Class I Railroads (Wage
Form C)
FORMS: STB-M-350
OMB NO: 2140-0008 EXPIRATION DATE: 11/30/2006
RESPS:1 HOURS:54 COSTS(000):$0
Maps to be submitted in abandonment exemption proceedings.
FORMS: NONE
OMB NO: 2140-0009 EXPIRATION DATE: 01/31/2009
RESPS:7 HOURS:5,600 COSTS(000):$0
Class I Railroad Annual Report
FORMS: R-1
OMB NO: 2140-0010 EXPIRATION DATE: 12/31/2006
RESPS:600 HOURS:300 COSTS(000):$0
Annual Waybill Compliance Survey
FORMS: NONE
OMB NO: 2140-0011 EXPIRATION DATE: 01/31/2009
RESPS:7 HOURS:28 COSTS(000):$0
Annual Report of Cars Loaded and Cars Terminated
FORMS: STB-54
OMB NO: 2140-0012 EXPIRATION DATE: 01/31/2009
RESPS:28 HOURS:168 COSTS(000):$0
Quarterly Condensed Balance Sheet - Railroads (Form CBS)
FORMS: NONE
OMB NO: 2140-0013 EXPIRATION DATE: 01/31/2009
RESPS:28 HOURS:168 COSTS(000):$0
Quarterly Report of Revenues, Expenses, and Income -- Railroad
(Form RE&I)
FORMS: NONE
AGENCY TOTALS:
ACTIVE ANNUAL ANNUAL ANNUAL
REPORTS RESPONSES HOURS COSTS($000)
11 839 15,197 $0
Other Independent Agencies
OMB NO: 3200-0004 EXPIRATION DATE: 10/31/2006
RESPS:700 HOURS:35,000 COSTS(000):$0
Nomination Information Form
FORMS: NONE
AGENCY TOTALS:
ACTIVE ANNUAL ANNUAL ANNUAL
REPORTS RESPONSES HOURS COSTS($000)
1 700 35,000 $0
