View Information Collection Request (ICR) Package
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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:
3235-0059
ICR Reference No:
200609-3235-024
Status:
Historical Active
Previous ICR Reference No:
200601-3235-010
Agency/Subagency:
SEC
Agency Tracking No:
270-56
Title:
Regulation 14A (Commission Rules 14a-1 through 14a-15 and Schedule 14A)
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:
12/08/2006
Retrieve Notice of Action (NOA)
Date Received in OIRA:
09/15/2006
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
12/31/2009
36 Months From Approved
05/31/2009
Responses
7,250
0
7,300
Time Burden (Hours)
475,781
0
462,638
Cost Burden (Dollars)
63,437,601
0
46,263,000
Abstract:
Schedule 14A is filed by issuers to provide security holders with the information necessary to enable them to vote in an informed manner on matters intended to be acted upon at security holders' meetings, whether annual or special meetings.
Authorizing Statute(s):
US Code:
15 USC 77c(b), 77f, 77g, 77j, 77s(a)
Name of Law: Securities Act of 1933
US Code:
15 USC 78j, 78l, 78m, 78n, 78o(d)
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 80a-8, 80a-20(a), 80a-24(a)
Name of Law: Investment Company Act of 1940
US Code:
15 USC 7202;78u and 7244(a)
Name of Law: Sarbanes-Oxley Act of 2002
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
3235-AI80
Final or interim final rulemaking
71 FR 53158
09/08/2006
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
Regulation 14A (Commission Rules 14a-1 through 14a-15 and Schedule 14A)
SEC-733, SEC-1913
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
7,250
7,300
0
-62
12
0
Annual Time Burden (Hours)
475,781
462,638
0
16,424
-3,281
0
Annual Cost Burden (Dollars)
63,437,601
46,263,000
0
1,643,000
15,531,601
0
Burden increases because of Program Change due to Agency Discretion:
Yes
Burden Increase Due to:
Changing Regulations
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
Specifically with respect to proxy statements on Schedule 14A and information statements on Schedule 14C, for registrants other than registered investment companies, the amendments will impose a new disclosure requirement regarding the companys processes and procedures for the consideration and determination of executive and director compensation with respect to the compensation committee or persons performing the equivalent functions, and disclosure regarding the availability of the compensation committees charter (if it has one), either as an appendix to the proxy or information statement at least once every three fiscal years or on the companys Web site. For more details refer to supporting statement.
Annual Cost to Federal Government:
$650,000
Does this IC contain surveys, censuses, or employ statistical methods?
No
Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002?
No
Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]?
Uncollected
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
Uncollected
Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?
Uncollected
Is this ICR related to the Pandemic Response?
Uncollected
Agency Contact:
Dan Greenspan 202 551-3623
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:
09/15/2006
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