Form S-1 Registration Statement

ICR 201011-3235-020

OMB: 3235-0065

Federal Form Document

Forms and Documents
IC Document Collections
34231 Modified
ICR Details
3235-0065 201011-3235-020
Historical Active 201002-3235-006
SEC CF- 270-58
Form S-1 Registration Statement
Revision of a currently approved collection   No
Approved without change 12/01/2010
Retrieve Notice of Action (NOA) 12/01/2010
  Inventory as of this Action Requested Previously Approved
12/31/2013 36 Months From Approved 04/30/2013
768 0 1,168
186,414 0 247,982
223,697,200 0 297,578,400

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

3235-AK14 Final or interim final rulemaking 75 FR 64642 10/20/2010


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

  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 768 1,168 0 -400 0 0
Annual Time Burden (Hours) 186,414 247,982 0 -61,568 0 0
Annual Cost Burden (Dollars) 223,697,200 297,578,400 0 -73,881,200 0 0
Miscellaneous Actions
In Release No. 33-9152, the Commission withdrew rule 151A under the Securities Act of 1933. Rule 151A defines the terms “annuity contract” and “optional annuity contract” under the Act. On July 12, 2010, the United States Court of Appeals for the District of Columbia Circuit issued an order vacating Rule 151A. The Court ordered the Commission to remove the reporting burden requirement that was related to 400 of the previously approved 1,168 respondents. The withdrawal of rule 151A removed the annual burdens associated with these 400 respondents by 61,568 hours and $73,881,200.

Keith Carpenter 202 942-0679


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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