Regulation A (Forms 1-A and 2-A): Regulation A- Small Issuer exemption from registration under the Securities Act and its attendant forms.

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC - 486 Regulation A (Forms 1-A and 2-A): Regulation A- Small Issuer exemption from registration under the Securities Act and its attendant forms. Form 1-A-Regulation A offering statement and	Form and Instruction	Modified	Available
Regulation A supportingstatement.2013.pdf	Supporting Statement A	Uploaded 2013-09-26	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34758	Regulation A (Forms 1-A and 2-A): Regulation A- Small Issuer exemption from registration under the Securities Act and its attendant forms. Form 1-A-Regulation A offering statement and	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0286	ICR Reference No: 201309-3235-012
Status: Historical Active	Previous ICR Reference No: 201008-3235-018
Agency/Subagency: SEC	Agency Tracking No: CF 270-110
Title: Regulation A (Forms 1-A and 2-A): Regulation A- Small Issuer exemption from registration under the Securities Act and its attendant forms.
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/04/2013
	Date Received in OIRA: 09/27/2013
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2016	36 Months From Approved	12/31/2013
Responses	30	0	100
Time Burden (Hours)	13,973	0	46,575
Cost Burden (Dollars)	1,863,000	0	6,210,000

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Abstract: Regulation A provides an exemption from registration under the Securities Act of 1933 for certain limited securities offerings by issuers who do not otherwise file reports with the Commission. Form 1-A is an offering statement filed under Regulation A and Form 2-A is used to report sales and uses of proceeds in Regulation A offerings.

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Authorizing Statute(s): US Code: 15 USC 77(b), 77s 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:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 25325	04/30/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 44606	07/24/2013
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
Regulation A (Forms 1-A and 2-A): Regulation A- Small Issuer exemption from registration under the Securities Act and its attendant forms. Form 1-A-Regulation A offering statement and	SEC - 486, SEC - 816	Form 1-A - Regulation A Offering Statement ,   Form 2-A - Report of Sales And Uses of Proceeds

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ICR Summary of Burden

table that charts list of burden

	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	30	100	0	0	-70	0
Annual Time Burden (Hours)	13,973	46,575	0	0	-32,602	0
Annual Cost Burden (Dollars)	1,863,000	6,210,000	0	0	-4,347,000	0

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 decrease of 32,602 reporting burden hours and the decrease of $4,347,000 in cost burden is due to an adjustment. The decrease in both the burden hours and cost burden reflect a decrease in number of respondents filing Form 1-A and Form 2-A under Regulation A.

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Annual Cost to Federal Government: $0

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: 09/27/2013

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