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:
3235-0070
ICR Reference No:
202503-3235-005
Status:
Active
Previous ICR Reference No:
202211-3235-016
Agency/Subagency:
SEC
Agency Tracking No:
CF
Title:
Exchange Act Form 10-Q
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 with change
Conclusion Date:
09/29/2025
Retrieve Notice of Action (NOA)
Date Received in OIRA:
08/07/2025
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 will reflect the revised methodologies. Supporting statement updated during OMB review.
Inventory as of this Action
Requested
Previously Approved
Expiration Date
09/30/2028
36 Months From Approved
09/30/2025
Responses
19,419
0
22,925
Time Burden (Hours)
2,624,187
0
3,098,084
Cost Burden (Dollars)
524,837,313
0
410,257,154
Abstract:
Section 13(a) of the Securities Exchange Act of 1934 (“Exchange Act”) requires every issuer of a security registered pursuant to Section 12 to file periodic and current reports with the Commission. Section 15(d) of the Exchange Act requires each issuer that has filed a registration statement that has become effective under the Securities Act of 1933 to file periodic reports and documents pursuant to Section 13 of the Exchange Act. Form 10-Q (17 CFR 249.308a) is the form used by issuers to satisfy their quarterly reporting obligations pursuant to Section 13 or 15(d) of the Exchange Act. Form 10-Q requires financial and certain other information concerning the issuer. Form 10-Q filings include financial and other information that is intended to provide investors with information needed to make informed investment decisions and to promote confidence in the trading markets.
Authorizing Statute(s):
US Code:
15 USC 78l, 78m, 78n, 78w(a)
Name of Law: Securities Exchange Act of 1934
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:
90 FR 20543
05/14/2025
30-day Notice:
Federal Register Citation:
Citation Date:
90 FR 37904
08/06/2025
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 10-Q
SEC-1296
Form 10-Q
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
19,419
22,925
0
0
-3,506
0
Annual Time Burden (Hours)
2,624,187
3,098,084
0
0
-473,897
0
Annual Cost Burden (Dollars)
524,837,313
410,257,154
0
0
114,580,159
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 burden of 473,897 hours and the increase of $114,580,159 in cost burden are due to adjustments. The decrease in the burden hours reflects a decrease in the estimated number of annual Forms 10-Q responses (from 22,925 responses to 19,419 responses). The increase in cost burden reflects the Commission’s increase in the cost burden per hour estimate from $400 per hour to $600 per hour for outside professionals. That increase is offset, in part, by the decrease in the estimated number of annual Form 10-Q responses.
Annual Cost to Federal Government:
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.
Yes
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:
Pearl Crawley 202 551-3256 crawleyp@sec.gov
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:
08/07/2025
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