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:
3235-0184
ICR Reference No:
201306-3235-006
Status:
Historical Active
Previous ICR Reference No:
201007-3235-015
Agency/Subagency:
SEC
Agency Tracking No:
IM-270-181
Title:
Form S-6 [17 CFR 239.19], for registration under the Securities Act of 1933 of Unit Investment Trusts registered on Form N-8B-2
Type of Information Collection:
Extension without change of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved without change
Conclusion Date:
08/19/2013
Retrieve Notice of Action (NOA)
Date Received in OIRA:
06/21/2013
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
08/31/2016
36 Months From Approved
10/31/2013
Responses
2,555
0
2,054
Time Burden (Hours)
108,634
0
71,890
Cost Burden (Dollars)
61,434,000
0
54,075,800
Abstract:
Form S-6 is used for registration under the Securities Act of 1933 the securities of any unit investment trusts registered under the Investment Company Act of 1940 on Form N-8B-2.
Authorizing Statute(s):
US Code:
15 USC 77e
Name of Law: Securities Act of 1933
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
60-day Notice:
Federal Register Citation:
Citation Date:
78 FR 22919
04/17/2013
30-day Notice:
Federal Register Citation:
Citation Date:
78 FR 37602
06/21/2013
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 S-6 [17 CFR 239.19], for registration under the Securities Act of 1933 of Unit Investment Trusts registered on Form N-8B-2
SEC-649
Form S-6
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
2,555
2,054
0
0
501
0
Annual Time Burden (Hours)
108,634
71,890
0
0
36,744
0
Annual Cost Burden (Dollars)
61,434,000
54,075,800
0
0
7,358,200
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:
Currently, the approved annual hour burden for preparing and filing reports on Form S 6 is 71,890 hours based upon the previous estimate of 2,054 responses. The new estimate of the total annual time burden is 108,634 hours based upon the new estimated total number of 2,555 responses. Therefore, there has been an increase in the total annual hour burden for Form S 6 filings of 36,744 hours. The total approved annual cost burden to respondents for outside professionals associated with the collection of data relating to Form S 6 increased from $54,075,800 to $61,434,000, a net increase of $7,358,200. The increase in the burden hours and cost estimates can be attributed to an increase in the number of estimated annual responses to Form S-6 and revised burden hours and cost estimates based on discussions with industry participants.
Annual Cost to Federal Government:
$0
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]?
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?
Uncollected
Agency Contact:
Adam Bolter 202 551-6011
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:
06/21/2013
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