Exchange Act Form 10-Q

Forms and Documents

Document Name	Status
Form SEC-1296 Exchange Act Form 10-Q Form and Instruction	Modified
Mine Safety Disclosure Supporting Statement.08-12-2011.pdf Supporting Statement A	2011-08-16

IC Document Collections

IC ID	Document Title	Status
34260	Exchange Act Form 10-Q Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0070	ICR Reference No: 201108-3235-015
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: Comment filed on proposed rule and continue	Conclusion Date: 09/23/2011
	Date Received in OIRA: 08/17/2011
Terms of Clearance: First -- SEC will identify and address, where legally permissiable, any duplication of information collection with DOL/MSHA that involve the disclosure of mining-related fatalities prior to the submission of this collection package at the final rule stage. SEC should also address this in the supporting statement in its next submission. Second -- OMB files this comment in accordance with 5 CFR 1320.11( c ). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. 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 describe in the preamble of the final rule how the agency has maximized the practical utility of the collection and minimized the burden. The next submission to OMB must include the draft final rule.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2013	36 Months From Approved	01/31/2013
Responses	32,462	0	32,462
Time Burden (Hours)	4,559,793	0	4,559,793
Cost Burden (Dollars)	607,972,400	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, 78o, 78w Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 77f, 77j, 77s Name of Law: Securities Act of 1933
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 1503 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-AK83	Proposed rulemaking	75 FR 80374	12/22/2010

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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
Exchange Act Form 10-Q	SEC-1296	Form 10-Q

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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. 33-9164 would implement Section 1503 of the Dodd-Frank Act. The changes in burden of Form 10-Q relate to proposed new disclosure requirements about mine safety matters. These disclosure requirements implement Section 1503 of the Dodd-Frank Act, which requires disclosure of specified mine safety and health violations, orders and citations and related matters in periodic reports. The change in burden for Form 10-Q corresponds to the new disclosure requirements. We estimate the proposal will result in an annual time burden increase of 1,069 hours and an increase in the cost burden of $142,500 for services of outside professionals.

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Annual Cost to Federal Government: $25,000

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: 08/17/2011

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