Exchange Act Form 10-Q

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC-1296 Exchange Act Form 10-Q	Form and Instruction	Modified	Available
PRA Supporting Statement Short-Term Borrowings version 2-16-2011.docx	Supporting Statement A	Uploaded 2011-02-16	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34260	Exchange Act Form 10-Q	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0070	ICR Reference No: 201102-3235-011
Status: Historical Inactive	Previous ICR Reference No: 201002-3235-026
Agency/Subagency: SEC	Agency Tracking No: CF 270-49
Title: Exchange Act Form 10-Q
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: 03/30/2011
	Date Received in OIRA: 02/17/2011
Terms of Clearance: 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.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2014	36 Months From Approved	01/31/2013
Responses	32,462	0	32,462
Time Burden (Hours)	4,990,923	0	4,559,793
Cost Burden (Dollars)	665,456,400	0	607,972,400

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Abstract: Form 10-Q is filed by issuers of securities to satisfy their quarterly reporting obligations pursuant to Sections 13 and 15(d) of the Exchange Act.

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Authorizing Statute(s): US Code: 15 USC 78l, 78m, 78n, 78o(d), 78w(a) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78mm Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 80a-8, 80a-37 Name of Law: Investment Company Act of 1940
   US Code: 15 USC 77f, 77g, 77j, 77s, 77z-3 Name of Law: Securities Act of 1933
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK72	Proposed rulemaking	75 FR 59866	09/28/2010

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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

table that charts list of burden

IC Title	Form No.	Form Name
Exchange Act Form 10-Q	SEC-1296	Form 10-Q

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ICR Summary of Burden

table that charts list 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	32,462	32,462	0	0	0	0
Annual Time Burden (Hours)	4,990,923	4,559,793	0	431,130	0	0
Annual Cost Burden (Dollars)	665,456,400	607,972,400	0	57,484,000	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The proposals in Release No. 33-9143 would enhance the disclosure that companies provide about short-term borrowings in order to provide more useful disclosure to shareholders and investors about a company's liquidity and use of short-term financing. The increase in the burden associated with Form 10-Q is necessary in order to provide shareholders and investors with important information about the financial condition of companies so that they may make informed voting and investment decisions. The proposal will result in an increase of 431,130 burden hours and an increase in the cost burden of $57,484,000 for services of outside professionals.

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Annual Cost to Federal Government: $50,000

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: 02/17/2011

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