Form D is a notice of sales filed by issuers of securities under Regulation D.

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC-1972 Form D is a notice of sales filed by issuers of securities under Regulation D.	Form and Instruction	Modified	Repair queued
PRA Supporting Statement 10-4 (4).doc	Supporting Statement A	Uploaded 2007-10-04	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34297	Form D is a notice of sales filed by issuers of securities under Regulation D.	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0076	ICR Reference No: 200710-3235-002
Status: Historical Inactive	Previous ICR Reference No: 200503-3235-003
Agency/Subagency: SEC	Agency Tracking No: 270-72
Title: Form D is a notice of sales filed by issuers of securities under Regulation D.
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Preapproved	Conclusion Date: 02/06/2008
	Date Received in OIRA: 10/04/2007
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2011	36 Months From Approved	06/30/2009
Responses	30,800	0	17,500
Time Burden (Hours)	30,800	0	17,500
Cost Burden (Dollars)	36,960,000	0	15,750,000

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Abstract: Form D is a notice of the sale of securities filed by all issuers making an offering of securities in reliance on an exemption under Regulation D or Section 4(6) of the Securities Act 1933.

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Authorizing Statute(s): US Code: 15 USC 77d(6), 77r, 77s, 77z-3 Name of Law: Securities Act of 1933
   US Code: 15 USC 77(a)(15), 77c(b), 77d(2) Name of Law: Securities Act of 1933
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AJ88	Proposed rulemaking	72 FR 45116	08/10/2007

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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
Form D is a notice of sales filed by issuers of securities under Regulation D.	SEC-1972	Form D

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ICR Summary of Burden

table that charts list of burden

	Total Request	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	30,800	17,500	0	1,500	11,800	0
Annual Time Burden (Hours)	30,800	17,500	0	1,500	11,800	0
Annual Cost Burden (Dollars)	36,960,000	15,750,000	0	1,800,000	19,410,000	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: See Question 15 of the supporting statement.

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Annual Cost to Federal Government: $50,000

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: 10/04/2007

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