Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Reg13Dsuppstmt.PR8917.TB(3).doc	Supporting Statement A	Uploaded 2008-07-28	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34436	Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G		Modified

ICR Details

OMB Control No: 3235-0145	ICR Reference No: 200807-3235-022
Status: Historical Inactive	Previous ICR Reference No: 200510-3235-006
Agency/Subagency: SEC	Agency Tracking No: CF-270-137
Title: Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G
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: 09/02/2008
	Date Received in OIRA: 07/30/2008
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2011	36 Months From Approved	02/28/2009
Responses	12,500	0	12,500
Time Burden (Hours)	35,577	0	35,575
Cost Burden (Dollars)	42,694,200	0	32,018,000

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Abstract: Schedule 13D and Schedule 13G are used by persons to report their ownership of more than five percent of a class of equity securities registered under Section 12 of the Securities Exchange Act of 1934.

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Authorizing Statute(s): US Code: 15 USC 77c, 77g, 77h, 77i, 77j, 77s Name of Law: Securities Act of 1933
   US Code: 15 USC 77z-3 Name of Law: Securities Act of 1933
   US Code: 15 USC 78l, 78m, 78n, 78w, 78ll, 78mm Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK10	Proposed rulemaking	73 FR 26876	05/09/2008

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? Yes

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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 13D and Regulation 13G; Schedule 13D and Schedule 13G

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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	12,500	12,500	0	0	0	0
Annual Time Burden (Hours)	35,577	35,575	0	2	0	0
Annual Cost Burden (Dollars)	42,694,200	32,018,000	0	0	10,676,200	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: the proposed amendments would increase the Schedule 13G reporting burden by approximately 2 hours and would increase the cost by approximately $1800. We further adjusted the outside cost estimate for all filers from $300 to $400 per hour for a total cost increase of $10,676,200.

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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: 07/30/2008

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