Form S-1 Registration Statement

ICR 200912-3235-024

OMB: 3235-0065

Federal Form Document

Forms and Documents
Form and Instruction
Supporting Statement A
IC Document Collections
34231 Modified
ICR Details
3235-0065 200912-3235-024
Historical Inactive 200911-3235-006
SEC CF- 270-58
Form S-1 Registration Statement
Revision of a currently approved collection   No
Preapproved 01/28/2010
Retrieve Notice of Action (NOA) 12/29/2009
Pre-approval contingent upon no substantive changes to this collection after adoption of the final rule. Otherwise this collection should be re-submitted to OMB for review.
  Inventory as of this Action Requested Previously Approved
01/31/2013 36 Months From Approved 12/31/2012
1,168 0 1,168
247,150 0 243,310
296,580,000 0 291,972,000

Form S-1 under the Securities Act is used by domestic issuers who are not eligible to use other forms to register offering of their securities.

US Code: 15 USC 80a-29, 80a-38 Name of Law: Investment Company Act of 1940
   US Code: 15 USC 77c(b), 77e, 77f, 77s(a) Name of Law: Securities Act of 1933
   US Code: 15 USC 78l, 78m, 78n, 78o(d), 78w(a0 Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 80a-8, 80a-20(a), 80a-24(a) Name of Law: Investment Company Act of 1940

3235-AK28 Proposed rulemaking 74 FR 35076 07/17/2009


IC Title Form No. Form Name
Form S-1 Registration Statement SEC 870 Form S-1

  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 1,168 1,168 0 0 0 0
Annual Time Burden (Hours) 247,150 243,310 0 3,840 0 0
Annual Cost Burden (Dollars) 296,580,000 291,972,000 0 4,608,000 0 0
Changing Regulations
We anticipate that the proposed amendments would increase the burdens and costs for U.S. companies. The proposed amendments would increase existing burdens by requiring companies to make additional disclosures about their overall compensation policies and the policies impact on risk taking; stock and option awards of executives and directors; director and nominee qualifications and legal proceedings; company leadership structure; the board’s role in the risk management process; and potential conflicts of interest of compensation consultants that advise companies. In addition, the proposed amendments would transfer from Forms 10-Q and 10-K to Form 8-K the requirement to disclose the voting results from a meeting of shareholders, which we anticipate would reduce the disclosure burdens for Form 10-Q. With respect to reporting companies (other than registered management investment companies), the proposed revisions to Regulation S-K generally would be required in Schedules 14A and 14C, however, only the proposed revisions to Items 401 and 402 of Regulation S-K would be required in Forms 10, 10-K, S-1, S-4 and S-11. With respect to Form S-1 we estimate an increase of 3,840 burden hours and an increase of $4,608,000 in cost burden.

N. Harrison 202 942-2910


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.

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