Regulation 14A (Commission Rules 14a-1 through 14a-15 and Schedule 14A)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC-1913 Regulation 14A (Commission Rules 14a-1 through 14a-15 and Schedule 14A)	Form and Instruction	Modified	Available
Justification for Internet Availability of Proxy Materials.doc	Justification for No Material/Nonsubstantive Change	Uploaded 2007-01-30	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34178	Regulation 14A (Commission Rules 14a-1 through 14a-15 and Schedule 14A)	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0059	ICR Reference No: 200701-3235-040
Status: Historical Active	Previous ICR Reference No: 200609-3235-024
Agency/Subagency: SEC	Agency Tracking No: 270-56
Title: Regulation 14A (Commission Rules 14a-1 through 14a-15 and Schedule 14A)
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 02/28/2007
	Date Received in OIRA: 02/02/2007
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2009	12/31/2009	12/31/2009
Responses	7,300	0	7,250
Time Burden (Hours)	555,683	0	475,781
Cost Burden (Dollars)	63,709,987	0	63,437,601

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Abstract: Schedule 14A is filed by issuers to provide security holders with the information necessary to enable them to vote in an informed manner on matters intended to be acted upon at security holders' meetings, whether annual or special meetings.

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AI80	Final or interim final rulemaking	71 FR 53158	09/08/2006

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Regulation 14A (Commission Rules 14a-1 through 14a-15 and Schedule 14A)	SEC-733, SEC-1913	Schedule 14A ,   Regulation 14A

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ICR Summary of Burden

table that charts list 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	7,300	7,250	0	0	50	0
Annual Time Burden (Hours)	555,683	475,781	0	0	79,902	0
Annual Cost Burden (Dollars)	63,709,987	63,437,601	0	0	272,386	0

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: Other Change ** In response to public comment, we revised our estimate in Proposed Rule: Internet Availability of Proxy Materials (Release 34-52926) due to a revision from the proposal that requires companies to permit shareholders to make permanent elections to receive paper or e-mail copies of the proxy materials and maintain records of such elections in the Adopted Rule (Release 34-55146).

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Annual Cost to Federal Government: $650,000

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]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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: 02/02/2007

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