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:
3235-0076
ICR Reference No:
200710-3235-002
Status:
Historical Inactive
Previous ICR Reference No:
200503-3235-003
Agency/Subagency:
SEC
Agency Tracking No:
270-72
Title:
Form D is a notice of sales filed by issuers of securities under Regulation D.
Type of Information Collection:
Revision of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Preapproved
Conclusion Date:
02/06/2008
Retrieve Notice of Action (NOA)
Date Received in OIRA:
10/04/2007
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
02/28/2011
36 Months From Approved
06/30/2009
Responses
30,800
0
17,500
Time Burden (Hours)
30,800
0
17,500
Cost Burden (Dollars)
36,960,000
0
15,750,000
Abstract:
Form D is a notice of the sale of securities filed by all issuers making an offering of securities in reliance on an exemption under Regulation D or Section 4(6) of the Securities Act 1933.
Authorizing Statute(s):
US Code:
15 USC 77d(6), 77r, 77s, 77z-3
Name of Law: Securities Act of 1933
US Code:
15 USC 77(a)(15), 77c(b), 77d(2)
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-AJ88
Proposed rulemaking
72 FR 45116
08/10/2007
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 D is a notice of sales filed by issuers of securities under Regulation D.
SEC-1972
Form D
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
30,800
17,500
0
1,500
11,800
0
Annual Time Burden (Hours)
30,800
17,500
0
1,500
11,800
0
Annual Cost Burden (Dollars)
36,960,000
15,750,000
0
1,800,000
19,410,000
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:
See Question 15 of the supporting statement.
Annual Cost to Federal Government:
$50,000
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:
Anthony Barone 202 551-3460
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:
10/04/2007
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