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FTC RIN: 3084-AA91 Publication ID: Spring 2011 
Title: Premerger Notification Rules and Report Form 
Abstract: The Premerger Notification Rules (HSR Rules or rules) and the Antitrust Improvements Act Notification and Report Form (HSR Form) were adopted pursuant to section 7A of the Clayton Act. Section 7A requires firms of a certain size contemplating mergers or acquisitions of a specified size to file notification with the Federal Trade Commission (FTC) and the U.S. Department of Justice (DOJ) and to wait a designated period of time before consummating the transaction. It also requires the FTC, with the concurrence of the U.S. Assistant Attorney General for Antitrust, to promulgate rules requiring that notification be in a form and contain information necessary to enable the FTC and DOJ to determine whether the proposed acquisition may, if consummated, violate the antitrust laws. These rules are continually reviewed in order to improve the program's effectiveness and to reduce the paperwork burden on the business community. Pursuant to the 2000 Amendments to section 7A of the Clayton Act, codified at 15 U.S.C. 18a, the filing thresholds are revised annually based on the change in gross national product. These thresholds have recently been changed with the baseline reporting figure of the size of transaction test under section 7A(a)(2)(B)(i) now $66.0 million, which was effective 30 days from publication in the Federal Register. On August 13, 2010, the Commission announced it was seeking public comments on proposed changes designed to streamline the HSR form and focus on the information most needed by the agencies in their initial merger review (75 FR 57110). The proposal eliminates requests for unnecessary information. The new form, however, would require additional information that is needed to help the FTC and DOJ during their initial review of transactions. The comment period closed on October 18, 2010. Staff anticipates Commission action by the middle of 2011. 
Agency: Federal Trade Commission(FTC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: No  Unfunded Mandates: No 
EO 13771 Designation: uncollected 
CFR Citation: 16 CFR 801 to 803   
Legal Authority: 15 USC 18a Clayton Act   
Legal Deadline:  None
Action Date FR Cite
NPRM (Rule Change)  02/01/2001  66 FR 8723   
Interim Rule I (Statutory Changes)  02/01/2001  66 FR 8680   
Interim Rule II (Rules of Practice)  02/01/2001  66 FR 8720   
Interim Final Rule With Request for Comments (Change From SIC to NAICS)  05/09/2001  66 FR 23561   
Effective Date (Change from SIC to NAICS)  07/01/2001    
Final Rule Part 802.21  03/18/2002  67 FR 11904   
Final Rules Parts 801 and 802  03/18/2002  67 FR 11898   
Final Rules Parts 801 and 803  01/17/2003  68 FR 2425   
NPRM (Noncorporate Entities)  04/08/2004  69 FR 18686   
Final Rule (Noncorporate Entities)  03/08/2005  70 FR 11502   
Effective Date (Final Rule on Noncorporate Entities)  04/07/2005    
NPRM (Internet Links and "Stale" Filings)  08/15/2005  70 FR 47733   
NPRM (Internet Links and "Stale" Filings) Comment Period End  10/14/2005    
Final Rule (Internet Links and "Stale" Filings)  12/12/2005  70 FR 73369   
Final Rule (Electronic Filings)  06/23/2006  71 FR 35995   
Final Rule on Electronic Filings Effective  06/23/2006    
NPRM (Form Changes)  09/17/2010  75 FR 57110   
Final Rule (Form Changes)  06/00/2011    
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of international interest.
Public Comment URL:  
RIN Data Printed in the FR: No 
Related RINs: Previously reported as 3084-AA23 
Agency Contact:
Marian Bruno
Deputy Director
Federal Trade Commission
Premerger Notification Office, Bureau of Competition, 600 Pennsylvania Avenue NW,
Washington, DC 20580
Phone:202 326-2846