Exchange Act Rule 12a-5 (17 CFR 240.12a-5) (Temporary exemption of substituted or additional securities) and Form 26 (17 CFR 249.26)

Forms and Documents

Document	Type	Status	Availability
Form SEC 483 Exchange Act Rule 12a-5 (17 CFR 240.12a-5) (Temporary exemption of substituted or additional securities) and Form 26 (17 CFR 249.26)	Form	Modified	Available
2008 Supporting Statementv2.doc	Supporting Statement A	Uploaded 2008-11-21	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
34306	Exchange Act Rule 12a-5 (17 CFR 240.12a-5) (Temporary exemption of substituted or additional securities) and Form 26 (17 CFR 249.26)	Form	Modified

ICR Details

OMB Control No: 3235-0079	ICR Reference No: 200809-3235-005
Status: Historical Active	Previous ICR Reference No: 200602-3235-008
Agency/Subagency: SEC	Agency Tracking No: TM-270-85
Title: Exchange Act Rule 12a-5 (17 CFR 240.12a-5) (Temporary exemption of substituted or additional securities) and Form 26 (17 CFR 249.26)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 02/18/2009
	Date Received in OIRA: 12/19/2008
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/29/2012	36 Months From Approved	04/30/2009
Responses	1	0	40
Time Burden (Hours)	1	0	13
Cost Burden (Dollars)	1	0	0

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Abstract: Subject to certain conditions, Rule 12a-5 affords a temporary exemption (generally for up to 120 days) from the registration requirements of Section 12(a) of the Act for a new security when the holders of a security admitted to trading on a national securities exchange obtain the right (by operation of law or otherwise) to acquire all or any part of a class of another or substitute security of the same or another issuer, or an additional amount of the original security. The purpose of the exemption is to avoid an interruption of exchange trading to afford time for the issuer of the new security to list and register it, or for the exchange to apply for unlisted trading privileges. Under paragraph (d) of Rule 12a-5, after an exchange has taken action to admit any security to trading pursuant to the provisions of the Rule, the exchange is required to file with the Commission a notification on Form 26. Form 26 provides the Commission with certain information regarding a security admitted to trading on an exchange pursuant to Rule 12a-5, including: (1) the name of the exchange, (2) the name of the issuer, (3) a description of the security, (4) the date(s) on which the security was or will be admitted to when-issued and/or regular trading, and (5) a brief description of the transaction pursuant to which the security was or will be issued.

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Authorizing Statute(s): US Code: 15 USC 78c(a)(12), 78j(b), 78w(a) Name of Law: Sections 3(a)(12), 10(b), and 23(a) of the Exchange Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	73 FR 60732	10/14/2008
30-day Notice:	Federal Register Citation:	Citation Date:
	73 FR 77083	12/18/2008
Did the Agency receive public comments on this ICR? No

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

IC Title	Form No.	Form Name
Exchange Act Rule 12a-5 (17 CFR 240.12a-5) (Temporary exemption of substituted or additional securities) and Form 26 (17 CFR 249.26)	SEC 483	Form 26: Notification of the Admission to Trading of a Substituted or Additional Class of Security Under Rule 12a-5

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ICR Summary 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	1	40	0	0	-39	0
Annual Time Burden (Hours)	1	13	0	0	-12	0
Annual Cost Burden (Dollars)	1	0	0	0	1	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The Commission staff’s estimate of the number of Forms 26 was lowered to reflect the number of Forms 26 actually filed: one since 2002. At the same time, the Commission staff’s estimates of the costs of submitting and reviewing each Form 26 were increased to reflect the rate of inflation. In particular, the Commission staff applied: (a) the SIFMA Management & Professional Salaries Data (Sept. 2007) to project the labor costs; and (b) the Consumer Price Index, which calculated 13% inflation since 2005, to recalculate the cost of printing.

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Annual Cost to Federal Government: $0

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: 12/19/2008

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