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

Forms and Documents

Document Name	Status
Form 3235-0686 TCR Form Form	New
Tips, Complaints and Referral Database-TCR Form and Instruction	Modified
30 Day Notice #0672.docx Supplementary Document	2022-03-03
60 Day Notice #0672.docx Supplementary Document	2022-03-03
Online TCR and Form TCR Supporting Statement 02.08.22.docx Supporting Statement A	2022-03-03

IC Document Collections

IC ID	Document Title	Status
251947	TCR Form Form	New
194909	Tips, Complaints and Referral Database-TCR Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0672	ICR Reference No: 202203-3235-004
Status: Received in OIRA	Previous ICR Reference No: 201908-3235-010
Agency/Subagency: SEC	Agency Tracking No: EN-270-621
Title: Electronic Data Collection System-Tips, Complaints, Referrals (TCR)
Type of Information Collection: Reinstatement with change of a previously approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 03/03/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved
Responses	28,560	0
Time Burden (Hours)	14,840	0
Cost Burden (Dollars)	0	0

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

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 72016	12/20/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 9733	02/22/2022
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

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

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ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	28,560	0	0	12,560	0	16,000
Annual Time Burden (Hours)	14,840	0	0	6,840	0	8,000
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Approximately 28,560 Submissions.

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Annual Cost to Federal Government: $4,693,795

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

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

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 03/03/2022

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