Form 144A-SF

ICR 201006-3235-020

OMB: 3235-0661

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2010-06-28
IC Document Collections
IC ID
Document
Title
Status
193373
New
ICR Details
3235-0661 201006-3235-020
Historical Inactive
SEC CF 270-612
Form 144A-SF
New collection (Request for a new OMB Control Number)   No
Regular
Preapproved 09/20/2010
Retrieve Notice of Action (NOA) 06/29/2010
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
09/30/2013 36 Months From Approved
716 0 0
358 0 0
429,600 0 0

Notice of initial placement of structured finance products to be sold without registration in reliance on the safe harbor provided under Securities Act Rule 144A.

US Code: 15 USC 77d, 77e, 77f, 77g, 77h, 77j Name of Law: Securities Act of 1933
   US Code: 15 USC 77q(a), 77s(a), 77z-3 Name of Law: Securities Act of 1933
   US Code: 15 USC 78j, 78l, 78m, 78n, 78o Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w(a), 78ll, 78mm Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 77sss Name of Law: Trust Indenture Act of 1939
  
None

3235-AK37 Proposed rulemaking 75 FR 23328 05/03/2010

No

1
IC Title Form No. Form Name
Form 144A-SF

  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 716 0 0 716 0 0
Annual Time Burden (Hours) 358 0 0 358 0 0
Annual Cost Burden (Dollars) 429,600 0 0 429,600 0 0
Yes
Changing Regulations
No
The proposed amendments in Release No. 33-9117 would require that issuers file with the Commission a new notice of sales of asset-backed securities to be offered without registration in reliance on Rule 144A under the Securities Act. This new collection of information would provide investors, regulators, and market participants with important transparency about privately issued structured finance products (that are sold in reliance on Rule 144A). The proposal would result in an increase of 358 burden hours and an increase in the cost burden of $429,600 for services of outside professionals. For a more detailed discussion, please refer to the supporting statement.

$200,000
No
No
No
Uncollected
No
Uncollected
Katherine Hsu 202 551-3430

  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.
06/29/2010


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