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:
201307-3235-020
Status:
Historical Active
Previous ICR Reference No:
201206-3235-009
Agency/Subagency:
SEC
Agency Tracking No:
CF-270-72
Title:
Form D is a notice of sales filed by issuers of securities under Regulation D.
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:
07/30/2013
Retrieve Notice of Action (NOA)
Date Received in OIRA:
07/30/2013
Terms of Clearance:
The next time this is submitted, please calculate the burden and cost for internal agency or securities issuers - not just outside legal assistance in preparing this form. Thank you
Inventory as of this Action
Requested
Previously Approved
Expiration Date
08/31/2015
08/31/2015
08/31/2015
Responses
18,187
0
25,000
Time Burden (Hours)
18,187
0
25,000
Cost Burden (Dollars)
21,824,400
0
30,000,000
Abstract:
Form D is a notice of sales filed by issuers making an offering of securities in reliance on an exemption under Regulation D or Section 4(a)(5) of the Securities Act of 1933.
Authorizing Statute(s):
US Code:
15 USC 77a, 77c(b), 77d(2), 77r
Name of Law: Securities Act of 1933
US Code:
15 USC 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:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
77 FR 22006
04/12/2012
30-day Notice:
Federal Register Citation:
Citation Date:
77 FR 36018
06/15/2012
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 - Notice of Exempt Offering of Securities
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
18,187
25,000
0
0
-6,813
0
Annual Time Burden (Hours)
18,187
25,000
0
0
-6,813
0
Annual Cost Burden (Dollars)
21,824,400
30,000,000
0
0
-8,175,600
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:
The decrease in time burden of 6,813 hours and the decrease in cost burden of $8,175,600 is due to an adjustment. The decrease in both cost burden and time burden reflects a decrease in the number of Form D filings made in 2012.
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:
Sean Harrison 202 942-2910
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:
07/30/2013
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