Exchange Act Form 10-D

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC 2503 Exchange Act Form 10-D	Form and Instruction	Modified	Repair queued
PRA Supporting Statement Proposing 5-23-11.pdf	Supporting Statement A	Uploaded 2011-06-14	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
35467	Exchange Act Form 10-D	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0604	ICR Reference No: 201105-3235-007
Status: Historical Inactive	Previous ICR Reference No: 201005-3235-018
Agency/Subagency: SEC	Agency Tracking No: CF 270-544
Title: Exchange Act Form 10-D
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: 07/18/2011
	Date Received in OIRA: 06/15/2011
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.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2013	36 Months From Approved	08/31/2013
Responses	10,000	0	10,000
Time Burden (Hours)	225,000	0	225,000
Cost Burden (Dollars)	30,000,000	0	30,000,000

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Abstract: Form 10-D is used for distribution reports filed by asset-backed securities issuers pursuant to Sections 13 and 15(d) of the Exchange Act of 1934.

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Authorizing Statute(s): US Code: 15 USC 78c(b), 78l, 78m, 78o Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w(a), 78mm Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 942 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-AK89	Proposed rulemaking	76 FR 2049	01/12/2011

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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

table that charts list of burden

IC Title	Form No.	Form Name
Exchange Act Form 10-D	SEC 2503	Form 10-D

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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: Section 942(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act eliminated the automatic suspension of the duty to file under Section 15(d) of the Securities Exchange Act of 1934 for asset-backed securities issuers and granted the Commission the authority to issue rules providing for the suspension or termination of such duty. The proposed amendments in Release No. 34-63652 would permit suspension of the reporting obligations for asset-backed securities ("ABS") issuers when there are no longer ABS of the class sold in a registered transaction held by non-affiliates of the depositor. We estimate the effect of the statute will result in an annual time burden increase of 129,330 hours and an increase in the cost burden of $17,244,000.

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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: 06/15/2011

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