Exchange Act Form 8-K

Forms and Documents

Document Name	Status
Form SEC 873 Exchange Act Form 8-K Form and Instruction	Modified
PRA Supporting Statement.PR9046.EA.doc Supporting Statement A	2009-12-08

IC Document Collections

IC ID	Document Title	Status
34191	Exchange Act Form 8-K Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0060	ICR Reference No: 200912-3235-009
Status: Historical Inactive	Previous ICR Reference No: 200904-3235-014
Agency/Subagency: SEC	Agency Tracking No: CF-270-50
Title: Exchange Act Form 8-K
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Withdrawn and continue	Conclusion Date: 12/29/2009
	Date Received in OIRA: 12/09/2009
Terms of Clearance: Information collection withdrawn, per agency request.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2012	36 Months From Approved	08/31/2012
Responses	108,424	0	108,424
Time Burden (Hours)	406,590	0	406,590
Cost Burden (Dollars)	54,212,000	0	54,212,000

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Abstract: Form 8-K is filed by issuers to satisfy their current reporting obligations pursuant to Sections 13 and 15(d) of the Exchange Act in connection with the occurrence of significant corporate events.

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Authorizing Statute(s): US Code: 15 USC 78mm Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 80a-10, 80a-20(a), 80a-37 Name of Law: Investment Company Act of 1940
   US Code: 15 USC 78c, 78m, 78n, 78o, 78w(a) 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-AK27	Proposed rulemaking	74 FR 29024	06/18/2009

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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

IC Title	Form No.	Form Name
Exchange Act Form 8-K	SEC 873	Form 8-K

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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 proposals in Release No. 33-9046 would allow shareholders to more fully exercise their rights to nominate directors. The increase in burden on Form 8-K is necessary to provide shareholders with information about the date by which shareholders are required to submit nominees pursuant to the proposed rules. The increase in burden on Form 8-K is necessary to provide shareholders of investment companies with the necessary information to determine whether they own sufficient shares to be eligible to submit director nominees under the proposed rules. The proposal will result in an increase of 3,904 burden hours and an increase in the cost burden of $520,500 for services of outside professionals.

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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)? No

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: 12/09/2009

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