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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:
3235-0060
ICR Reference No:
201401-3235-008
Status:
Historical Inactive
Previous ICR Reference No:
201202-3235-002
Agency/Subagency:
SEC
Agency Tracking No:
CF 270-50
Title:
Exchange Act Form 8-K
Type of Information Collection:
Revision of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Comment filed on proposed rule and continue
Conclusion Date:
05/06/2014
Retrieve Notice of Action (NOA)
Date Received in OIRA:
01/17/2014
Terms of Clearance:
Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR. The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule.
Inventory as of this Action
Requested
Previously Approved
Expiration Date
04/30/2015
36 Months From Approved
04/30/2015
Responses
118,387
0
118,387
Time Burden (Hours)
507,665
0
507,665
Cost Burden (Dollars)
67,688,700
0
67,688,700
Abstract:
Form 8-K is filed by issuers to satisfy their current reporting obligations pursuant to Sections 13 or 15(d) of the Exchange Act in connection with the occurrence of significant corporate events.
Authorizing Statute(s):
US Code:
15 USC 77g, 77j, 77s(a)
Name of Law: Securities Act of 1933
US Code:
15 USC 78c(b), 78l, 78m, 78n, 78o
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 78w(a)
Name of Law: Securities Exchange Act of 1934
Citations for New Statutory Requirements:
PL: Pub.L. 111 - 203 953(b) Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
PL: Pub.L. 112 - 106 102(a)(3) Name of Law: Jumpstart Our Business Startups Act
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
3235-AL47
Proposed rulemaking
78 FR 60560
10/01/2013
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
Exchange Act Form 8-K
SEC 873
Form 8-K
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 proposals in Release No. 33-9452 would enhance the disclosure that companies provide about executive compensation and would satisfy the mandate of Section 953(b) of the Dodd-Frank Act. Investors and other market participants interested in executive compensation disclosure have indicated that the proposed disclosure would be useful in informing investment and voting decisions, particularly for say-on-pay votes and in director elections. In this regard, pay ratio information could be used by shareholders for purposes of evaluating the actions of the board of directors in fulfilling its responsibilities to the company and its shareholders. Pay ratio information could also be used to enhance an investor's understanding of a registrant's compensation practices applicable to non-executive employees relative to the named executive officers. The increase in the burden associated with Form 8-K is necessary in order to provide shareholders and investors with important information about executive compensation so that they may make informed voting and investment decisions. The proposal will result in an increase of 16.5 burden hours and an increase in the cost burden of $2,200 for services of outside professionals. For a more detailed discussion, please refer to 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]?
No
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
Yes
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:
John Fieldsend 202 551-3343
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:
01/17/2014