Privately-Issued Structured Finance Product Disclosure

ICR 201309-3235-019

OMB: 3235-0709

Federal Form Document

Forms and Documents
Supporting Statement A
IC Document Collections
ICR Details
3235-0709 201309-3235-019
Historical Inactive
SEC CF 270-613
Privately-Issued Structured Finance Product Disclosure
New collection (Request for a new OMB Control Number)   No
Comment filed on proposed rule 10/22/2013
Retrieve Notice of Action (NOA) 09/30/2013
Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR. The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule.
  Inventory as of this Action Requested Previously Approved
36 Months From Approved
0 0 0
0 0 0
0 0 0

Disclosure (offering and ongoing) that is required to be provided for unregistered offerings and private resales of structured finance products made in reliance on Securities Act 144A, Regulation D, or Securities Act Rule 144.

US Code: 15 USC 77d, 77e, 77f, 77g, 77h, 77j Name of Law: Securities Act of 1933
   US Code: 15 USC 77q(a), 77s(a), 77z-3 Name of Law: Securities Act of 1933
   US Code: 15 USC 78j, 78l, 78m, 78n, 78o Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w(a), 78ll, 78mm Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 77sss Name of Law: Trust Indenture Act of 1939

3235-AK37 Proposed rulemaking 75 FR 23328 05/03/2010


IC Title Form No. Form Name
Privately-Issued Structured Finance Product Disclosure

Changing Regulations
The proposed amendments in Release No. 33-9117 would require issuers that wish to rely on Rule 144A, Rule 144, or Rule 506 of Regulation D to provide purchasers and prospective purchasers of structured finance products with the same information that would be required if the offering were registered with the Commission. This new collection of information is necessary to provide investors with better disclosure that they can use to make an investment decision in structured finance products. The proposal would result in an increase of 171,498 burden hours and an increase in the cost burden of $58,144,976 for outside services. For a more detailed discussion, please refer to the supporting statement.

Katherine Hsu 202 551-3430


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.

© 2021 | Privacy Policy