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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:
202210-3235-027
Status:
Active
Previous ICR Reference No:
202203-3235-014
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:
Revision of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved without change
Conclusion Date:
12/19/2022
Retrieve Notice of Action (NOA)
Date Received in OIRA:
11/08/2022
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
12/31/2025
36 Months From Approved
09/30/2025
Responses
32,380
0
28,004
Time Burden (Hours)
101,339
0
67,242
Cost Burden (Dollars)
4,846,374
0
4,846,374
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.
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:
3235-AM97
Final or interim final rulemaking
87 FR 41060
07/11/2022
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
32,380
28,004
0
4,376
0
0
Annual Time Burden (Hours)
101,339
67,242
0
34,097
0
0
Annual Cost Burden (Dollars)
4,846,374
4,846,374
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:
The estimated total annual burden hours increased from 67,242 to 101,339.29 hours (an increase of 34,097.29 hours). The increase in annual burden hours is due primarily to the Commission’s amendments to Form 13F. The amendments will not change the currently approved external cost burden to comply 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:
Benjamin Tecmire 202 551-7317
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:
11/08/2022
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