Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C)

ICR 201009-3235-010

OMB: 3235-0057

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2010-12-02
IC Document Collections
ICR Details
3235-0057 201009-3235-010
Historical Active 201004-3235-008
SEC CF 270-57
Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C)
Revision of a currently approved collection   No
Regular
Approved with change 12/22/2010
Retrieve Notice of Action (NOA) 09/21/2010
Updated supporting statement.
  Inventory as of this Action Requested Previously Approved
12/31/2013 36 Months From Approved 04/30/2013
680 0 680
64,971 0 63,152
7,636,149 0 7,393,639

Schedule 14C is filed by issuers of securities that are registered under Section 12 of the Securities Exchange Act of 1934 in connection with a consent solicitation.

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
   PL: Pub.L. 111 - 203 971 Name of Law: Dodd-Frank Wall Street Reform And Consumer Protection Act
   US Code: 15 USC 78c, 78m, 78n, 78o, 78w(a), Name of Law: Securities Exchange Act of 1934
  
None

3235-AK27 Final or interim final rulemaking 75 FR 56668 09/16/2010

Yes

1
IC Title Form No. Form Name
Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C)

  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 680 680 0 0 0 0
Annual Time Burden (Hours) 64,971 63,152 0 1,819 0 0
Annual Cost Burden (Dollars) 7,636,149 7,393,639 0 242,510 0 0
Yes
Changing Regulations
No
The rules adopted in Release No. 33-9136 will allow shareholders to more fully exercise their rights to nominate directors. The increase in the burden associated with Regulation 14C is necessary in order to provide shareholders with important information about the issues on which shareholders are asked to vote. The rules will result in an increase of 1,819 burden hours and an increase in the cost burden of $242,510 for services of outside professionals.

$50,000
No
No
No
No
No
Uncollected
Blair Petrillo 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.
09/21/2010


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