Form S-3 - Registration Statement

Forms and Documents

Document	Type	Status	Availability
Form SEC-1379 Form S-3 - Registration Statement	Form and Instruction	Modified	Repair queued
PRA Supporting statement with 6-28[1].docx	Supporting Statement A	Uploaded 2010-09-22	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
34287	Form S-3 - Registration Statement	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0073	ICR Reference No: 201009-3235-019
Status: Historical Inactive	Previous ICR Reference No: 200802-3235-019
Agency/Subagency: SEC	Agency Tracking No: CF 270-61
Title: Form S-3 - Registration Statement
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Preapproved	Conclusion Date: 11/24/2010
	Date Received in OIRA: 09/24/2010
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2013	36 Months From Approved	04/30/2011
Responses	1,966	0	2,065
Time Burden (Hours)	206,021	0	236,959
Cost Burden (Dollars)	247,225,500	0	284,350,500

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Abstract: Form S-3 under the Securities Act is the short form registration statement used by domestic issuers to register offerings of their securities.

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Authorizing Statute(s): 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, and 78mm Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 77sss Name of Law: Trust Indenture Act of 1939
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK37	Proposed rulemaking	75 FR 23328	05/03/2010

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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
Form S-3 - Registration Statement	SEC-1379	Form S-3 - Registration Statement

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ICR Summary of Burden

	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	1,966	2,065	0	-99	0	0
Annual Time Burden (Hours)	206,021	236,959	0	-30,938	0	0
Annual Cost Burden (Dollars)	247,225,500	284,350,500	0	-37,125,000	0	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: Yes

Burden Reduction Due to: Changing Regulations

Short Statement: The proposed amendments in Release No. 33-9117 would require asset-backed issuers to register their offerings on new forms that would be solely for the registration of asset-backed issuers. The decrease in the burden associated with Form S-3 reflects that asset-backed issuers will no longer file on Form S-3. The proposal would result in a decrease of 30,938 burden hours and a decrease in the cost burden of $37,125,000 in professional costs. For a more detailed discussion, please refer to the supporting statement.

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Annual Cost to Federal Government: $200,000

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]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

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: 09/24/2010

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