View Information Collection Request (ICR) Package
Skip to main content
An official website of the United States government
The .gov means it's official.
Federal government websites often end in .gov or .mil. Before sharing sensitive information, make sure you're on a federal government site.
The site is secure.
The https:// ensures that you are connecting to the official website and that any information you provide is encrypted and transmitted securely.
Search:
Agenda
Reg Review
ICR
This script is used to control the display of information in this page.
Display additional information by clicking on the following:
All
Brief and OIRA conclusion
Abstract/Justification
Legal Statutes
Rulemaking
FR Notices/Comments
IC List
Burden
Misc.
Common Form Info.
Certification
View Information Collection (IC) List
View Supporting Statement and Other Documents
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:
3235-0381
ICR Reference No:
200707-3235-013
Status:
Historical Active
Previous ICR Reference No:
200701-3235-038
Agency/Subagency:
SEC
Agency Tracking No:
270-335
Title:
Form 40-F
Type of Information Collection:
No material or nonsubstantive change to a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved without change
Conclusion Date:
07/31/2007
Retrieve Notice of Action (NOA)
Date Received in OIRA:
07/31/2007
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
04/30/2008
04/30/2008
04/30/2008
Responses
205
0
220
Time Burden (Hours)
21,884
0
23,492
Cost Burden (Dollars)
26,260,500
0
28,190,400
Abstract:
Form 40-F is filed by Canadian issuers that are eligible to use the Multijurisdictional Disclosure System ("MJDS") in order to register a class of securities under Section 12(g) of the Exchange Act or to satisfy their annual report obligations pursuant to Sections 13 and 15(d) of the Exchange Act.
Authorizing Statute(s):
US Code:
15 USC 78c(b), 78l, 78m, 78w, 78mm
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 77f, 77g, 77j, 77s
Name of Law: Securities Act of 1933
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
3235-AJ64
Final or interim final rulemaking
71 FR 76581
12/21/2006
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
Form 40-F
SEC 2285
Form 40-F
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
205
220
0
-15
0
0
Annual Time Burden (Hours)
21,884
23,492
0
-1,608
0
0
Annual Cost Burden (Dollars)
26,260,500
28,190,400
0
-1,929,900
0
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:
Yes
Burden Reduction Due to:
Cutting Redundancy
Short Statement:
Table 3 below illustrates the changes in cost and hour burdens from the burden estimates currently approved by OMB. Columns (A) and (B) represent the total hour and cost burden estimates for the respective forms under the rules. Columns (C) and (D) represent the previous burden estimates most recently submitted to OMB. Columns (E) and (F) represent the change in burden from the previous estimates. Columns (G) and (H) represent the incremental hour and cost burden under the rules. Columns (I) and (J) represent the adjustment, which encompasses any change in burden that is not attributable to the rules. This submission uses the actual number of filings for fiscal year 2006. Please note that some discrepancies between the numbers in the supporting statement and the numbers submitted through ROCIS have been caused by the difference in methodology used in rounding numbers.
Annual Cost to Federal Government:
$37,000
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:
Elliot Staffin 202 551-3450
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:
07/31/2007
An official website of the United States government
The .gov means it's official.
The site is secure.
