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View ICR - OIRA Conclusion

OMB Control No: 3235-0647	ICR Reference No: 202410-3235-002
Status: Active	Previous ICR Reference No: 202112-3235-002
Agency/Subagency: SEC	Agency Tracking No: TM-270-586
Title: Rule 204
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: 03/18/2025
	Date Received in OIRA: 12/26/2024
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2028	36 Months From Approved	03/31/2025
Responses	9,414,765	0	8,487,475
Time Burden (Hours)	1,506,165	0	1,357,997
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	9,414,765	8,487,475	927,290
Annual Time Burden (Hours)	1,506,165	1,357,997	148,168
Annual Cost Burden (Dollars)	0	0	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: In 2023, the total aggregate annual record keeping and third-party disclosure burden for the collection of information undertaken pursuant to the notification, demonstration, and certification requirements of Rule 204 is 1,506,165 hours per year (337,348 + 156,038 + 338,083+ 337,348 + 337,348). In 2020, the total aggregate annual record keeping and third-party disclosure burden for the collection of information undertaken pursuant to the notification, demonstration, and certification requirements of Rule 204 was 1,357,997 hours per year (301,864 + 149,088 + 303,317 + 301,864 + 301,864). The increase in total aggregate burden hours from 1,357,997 to 1,506,165 is largely due to an increase in the number of average daily fail to deliver positions from 7,450 during 2020 to 8,378 in 2023.

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination. No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination. 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? No

Agency Contact: Brendon McLeod 202 551-4537

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