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Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
3235-0006
ICR Reference No:
202111-3235-011
Status:
Historical Active
Previous ICR Reference No:
201804-3235-001
Agency/Subagency:
SEC
Agency Tracking No:
IM-270-022
Title:
Form 13F, Report of Institutional Investment Managers (pursuant to sec.13(f) of the Securities Exchange of 1934)
Type of Information Collection:
Reinstatement with change of a previously approved collection
Common Form ICR:
No
Type of Review Request:
Emergency
Approval Requested By:
03/08/2022
OIRA Conclusion Action:
Approved without change
Conclusion Date:
03/07/2022
Retrieve Notice of Action (NOA)
Date Received in OIRA:
03/05/2022
Terms of Clearance:
In response to the emergency request memorandum submitted by the SEC on 3/7/2022, OIRA is approving the Commission's request for emergency reinstatement of OMB control # 3235-0006 for an approval period of six months. This action is due to the expiry of this OMB control number. Prior to the expiration of this package in six months, SEC shall undertake standard PRA notice and comment procedures.
Inventory as of this Action
Requested
Previously Approved
Expiration Date
09/30/2022
6 Months From Approved
Responses
28,004
0
0
Time Burden (Hours)
67,242
0
0
Cost Burden (Dollars)
4,846,374
0
0
Abstract:
Form 13F is a quarterly report filed publicly by institutional investment managers that exercise investment discretion over $100 million or more in certain U.S. exchange-traded equities.
Emergency Justfication:
The collection of information is essential to the mission of the Commission. The existing approval has already expired. Therefore the Commission cannot reasonably comply with the normal clearance requirement of the PRA and applicable regulations because the use of normal clearance procedures is reasonably likely to prevent or disrupt the collection of information. The Commission has taken all practicable steps to consult with interested agencies and members of the public in order to minimize the burden of the collection of information.
Authorizing Statute(s):
US Code:
15 USC Ch. 28, sec. 78m
Name of Law: Securities Exchange Act of 1934
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
Not associated with rulemaking
Federal Register Notices & Comments
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
1
IC Title
Form No.
Form Name
Form 13F, Report of Institutional Investment Managers
SEC 1685
Form 13F
ICR Summary of Burden
Total Approved
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
28,004
0
0
0
4,656
23,348
Annual Time Burden (Hours)
67,242
0
0
0
-405,280
472,522
Annual Cost Burden (Dollars)
4,846,374
0
0
0
4,846,374
0
Burden increases because of Program Change due to Agency Discretion:
No
Burden Increase Due to:
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
The estimated total annual burden hours decreased by 405,279.6, from 472,521.6 to 67,242. The decrease in annual burden hours is due primarily to the Commission’s belief that the currently approved estimates do not appropriately reflect the information collection costs associated with Form 13F. The changes in burden also reflect the Commission’s revision and update of burden estimates for all information collections under this OMB control number, and the Commission requested public comment on all those information collection burden estimates for this OMB control number
Annual Cost to Federal Government:
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.
No
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
Agency Contact:
James Maclean 202 551-7794
Common Form ICR:
No
On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
(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:
03/05/2022
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