Rule 701-Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.

ICR 200802-3235-011

OMB: 3235-0522

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2008-02-14
ICR Details
3235-0522 200802-3235-011
Historical Active 200503-3235-004
SEC 270-306
Rule 701-Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
Extension without change of a currently approved collection   No
Regular
Approved without change 04/08/2008
Retrieve Notice of Action (NOA) 02/15/2008
  Inventory as of this Action Requested Previously Approved
04/30/2011 36 Months From Approved 04/30/2008
300 0 300
150 0 150
180,000 0 135,000

Rule 701 requires issuers conducting employee benefit plan offerings in excess of $5 million in reliance on the rule to provide the employee covered by the plan with risk and financial statement disclosures.

US Code: 15 USC 77c, 77e, 77f, 77g, 77s, 77z-3 Name of Law: Securities Act of 1933
   US Code: 15 USC 77aa Name of Law: Securities Act of 1933
  
None

Not associated with rulemaking

  72 FR 70621 12/12/2007
73 FR 8912 02/15/2008
No

  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 300 300 0 0 0 0
Annual Time Burden (Hours) 150 150 0 0 0 0
Annual Cost Burden (Dollars) 180,000 135,000 0 0 45,000 0
No
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
Elizabeth Murphy 202 551-3430 [email protected]

  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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
02/15/2008


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