Form D is a notice of sales filed by issuers of securities under Regulation D.

ICR 201307-3235-020

OMB: 3235-0076

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Justification for No Material/Nonsubstantive Change
2013-07-30
ICR Details
3235-0076 201307-3235-020
Historical Active 201206-3235-009
SEC CF-270-72
Form D is a notice of sales filed by issuers of securities under Regulation D.
No material or nonsubstantive change to a currently approved collection   No
Regular
Approved without change 07/30/2013
Retrieve Notice of Action (NOA) 07/30/2013
The next time this is submitted, please calculate the burden and cost for internal agency or securities issuers - not just outside legal assistance in preparing this form. Thank you
  Inventory as of this Action Requested Previously Approved
08/31/2015 08/31/2015 08/31/2015
18,187 0 25,000
18,187 0 25,000
21,824,400 0 30,000,000

Form D is a notice of sales filed by issuers making an offering of securities in reliance on an exemption under Regulation D or Section 4(a)(5) of the Securities Act of 1933.

US Code: 15 USC 77a, 77c(b), 77d(2), 77r Name of Law: Securities Act of 1933
   US Code: 15 USC 77s Name of Law: Securities Act of 1933
  
None

Not associated with rulemaking

  77 FR 22006 04/12/2012
77 FR 36018 06/15/2012
No

1
IC Title Form No. Form Name
Form D is a notice of sales filed by issuers of securities under Regulation D. SEC 1972 Form D - Notice of Exempt Offering of Securities

  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 18,187 25,000 0 0 -6,813 0
Annual Time Burden (Hours) 18,187 25,000 0 0 -6,813 0
Annual Cost Burden (Dollars) 21,824,400 30,000,000 0 0 -8,175,600 0
No
No
The decrease in time burden of 6,813 hours and the decrease in cost burden of $8,175,600 is due to an adjustment. The decrease in both cost burden and time burden reflects a decrease in the number of Form D filings made in 2012.

$0
No
No
No
No
No
Uncollected
Sean Harrison 202 942-2910

  No

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.
07/30/2013


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