Form F-10

Forms and Documents

Document Name	Status
Form SEC-2292 Form F-10 Form and Instruction	Modified
Supporting Statement with new headings.SecurityRatings.2-10-11.docx Supporting Statement A	2011-03-10

IC Document Collections

IC ID	Document Title	Status
34954	Form F-10 Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0380	ICR Reference No: 201103-3235-010
Status: Historical Inactive	Previous ICR Reference No: 200905-3235-003
Agency/Subagency: SEC	Agency Tracking No: CF-270-334
Title: Form F-10
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 05/19/2011
	Date Received in OIRA: 03/11/2011
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). In accordance with 5 CFR 1320, OMB is withholding approval at this time. The agency shall examine public comment in response to the NPRM and will include in the supporting statement of the next ICR--to be submitted to OMB at the final rule stage--a description of how the agency has responded to any public comments on the ICR, including comments on maximizing the practical utility of the collection and minimizing the burden.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2012	36 Months From Approved	06/30/2012
Responses	75	0	75
Time Burden (Hours)	469	0	469
Cost Burden (Dollars)	562,500	0	562,500

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Abstract: Form F-10 is used by Canadian issuers for registration of securities under the Securities Act of 1933.

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Authorizing Statute(s): US Code: 15 USC 78n, 78w(a) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 77f, 77g, 77j, 77s(a) Name of Law: Securities Act of 1933
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 939A Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK18	Proposed rulemaking	76 FR 8946	02/16/2011

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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 F-10	SEC-2292	Form F-10

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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: No

Burden Reduction Due to:

Short Statement: The proposals in Release No. 33-9186 would remove references to credit ratings and replace them with alternate criteria pursuant to Section 939A of the Dodd-Frank Act. In addition, the proposals would rescind Form F-9. If the proposal is adopted, the collection of information contained in Form F-9 would be eliminated. As a result, the issuers who currently file on Form F-9 would file on Form F-10, which would increase the number of respondents for Form F-10. The proposal would result in an increase of 31 annual burden hours and an increase in the cost burden of $37,500 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]? Yes

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: 03/11/2011

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