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:
201605-3235-019
Status:
Historical Inactive
Previous ICR Reference No:
201308-3235-002
Agency/Subagency:
SEC
Agency Tracking No:
CF-270-72
Title:
Form D-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:
Comment filed on proposed rule and continue
Conclusion Date:
07/11/2016
Retrieve Notice of Action (NOA)
Date Received in OIRA:
06/09/2016
Terms of Clearance:
This collection should be re-submitted to OMB at the final rule stage.
Inventory as of this Action
Requested
Previously Approved
Expiration Date
09/30/2016
36 Months From Approved
11/30/2016
Responses
21,824
0
21,824
Time Burden (Hours)
21,824
0
21,824
Cost Burden (Dollars)
26,188,800
0
26,188,800
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 77z-3
Name of Law: Securities Act of 1933
US Code:
15 USC 77c(b)(1), 77d(a)(2), 77s(a)
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-AL80
Proposed rulemaking
80 FR 69786
11/10/2015
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-Notice of sales filed by issuers of securities under Regulation D.
SEC 1972
Form D - Notice of Exempt Offering of Securities
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:
The change in burden for Form D corresponds to an estimated 20% increase in the number of Form D filings relying on Rule 504, or approximately 200 filings, under the proposed amendment to Rule 504. This would result in an increase in burden hours of 3,676 and an increase in cost burden of $4,411,200.
Annual Cost to Federal Government:
$150,000
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]?
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:
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:
06/09/2016
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