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:
3235-0726
ICR Reference No:
202503-3235-003
Status:
Active
Previous ICR Reference No:
202203-3235-005
Agency/Subagency:
SEC
Agency Tracking No:
TM
Title:
Crowdfunding Rules 300-304 (Intermediaries)
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:
01/13/2026
Retrieve Notice of Action (NOA)
Date Received in OIRA:
06/11/2025
Terms of Clearance:
OMB understands that SEC is in the process of revising its methodologies to estimate annualized costs to the Federal government for all its relevant collections of information. OMB anticipates that future extensions of this OMB control number may reflect the revised methodologies.
Inventory as of this Action
Requested
Previously Approved
Expiration Date
01/31/2029
36 Months From Approved
01/31/2026
Responses
10,170
0
10,329
Time Burden (Hours)
27,732
0
38,317
Cost Burden (Dollars)
16,960,716
0
18,750,000
Abstract:
Rules 300 to 304 of Regulation Crowdfunding serve to provide a framework for the regulation of funding portals and brokers that issuers are required to use as intermediaries in the offer and sale of securities in reliance on Section 4(a)(6).
Authorizing Statute(s):
US Code:
15 USC 78a et seq.
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 77a et seq.
Name of Law: Securities Act of 1933
Citations for New Statutory Requirements:
PL: Pub.L. 112 - 106 301-305 Name of Law: Jumpstart Our Business Startups Act
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:
90 FR 13917
03/27/2025
30-day Notice:
Federal Register Citation:
Citation Date:
90 FR 24682
06/11/2025
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
17
IC Title
Form No.
Form Name
IC1 - Development of the Intermediary Platform - In-house
IC10 - Account Opening - Promoters
IC11 - Maintenance and Transmission of Funds - Initial Burden
IC12 - Maintenance and Transmission of Funds - Ongoing Burden
IC13 - Development of the Intermediary Platform - Third Party Developer
IC14 - Updating the Intermediary Platform - Third party developer
IC15 - Measures to Reduce Risk of Fraud - Background Checks
IC16 - Account Opening - Educational Materials - Initial Burden - developed by third party
IC17 - Account Opening - Educational Materials - Ongoing Burden - developed by third party
IC2 - Updating the Intermediary Platform - In-house
IC3 - Measures to Reduce the Risk of Fraud - Initial Burden
IC4 - Measures to Reduce the Risk of Fraud - Ongoing Burden
IC5 - Account Opening - Accounts and Electronic Delivery - Initial Burden
IC6 - Account Opening - Accounts and Electronic Delivery - Ongoing Burden
IC7 - Account Opening - Educational Materials - Initial Burden - developed in-house
IC8 - Account Opening - Educational Materials - Ongoing Burden - developed in-house
IC9 - Account Opening - Promoters - initial burden
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
10,170
10,329
0
0
-159
0
Annual Time Burden (Hours)
27,732
38,317
0
0
-10,585
0
Annual Cost Burden (Dollars)
16,960,716
18,750,000
0
0
-1,789,284
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:
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:
Jane Wetterau 202 551-4483
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:
06/11/2025
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