Tender Offer--Regulation 14D and Regulation 14E, Schedule 14D-9

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Regulations 14D and 14E.SS.2014.pdf	Supporting Statement A	Uploaded 2014-03-26	Available
EDGAR PIA_Redacted.pdf	Supplementary Document	Uploaded 2014-03-21	Available
secsorn4.pdf	Supplementary Document	Uploaded 2014-03-21	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34354	Tender Offer--Regulation 14D and Regulation 14E, Schedule 14D-9		Modified

ICR Details

OMB Control No: 3235-0102	ICR Reference No: 201402-3235-013
Status: Historical Active	Previous ICR Reference No: 201102-3235-027
Agency/Subagency: SEC	Agency Tracking No: CF 270-114
Title: Tender Offer--Regulation 14D and Regulation 14E, Schedule 14D-9
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: 06/25/2014
Retrieve Notice of Action (NOA)	Date Received in OIRA: 03/27/2014
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2017	36 Months From Approved	06/30/2014
Responses	150	0	600
Time Burden (Hours)	9,771	0	39,085
Cost Burden (Dollars)	11,725,200	0	46,902,000

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Abstract: Regulation 14D and Regulation 14E and related Schedule 14D-9 requires information important to security holders in deciding how to respond to tender offers.

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Authorizing Statute(s): US Code: 15 USC 77c(b), 77f, 77g, 77j, 77s(a) Name of Law: Securities Act of 1933
   US Code: 15 USC 78m, 78n(a), 78n-1, 78w(a) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78mm Name of Law: Securities Exchange Act of 1934
  

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:
	79 FR 3425	01/21/2014
30-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 16841	03/26/2014
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
Tender Offer--Regulation 14D and Regulation 14E, Schedule 14D-9

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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	150	600	0	0	-450	0
Annual Time Burden (Hours)	9,771	39,085	0	0	-29,314	0
Annual Cost Burden (Dollars)	11,725,200	46,902,000	0	0	-35,176,800	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 29,314 burden hours and the decrease of $35,176,800 in cost burden are due to adjustments. The change in burden hours and cost burden is due to a decrease in the number of Schedule 14D-9 reports filed with Commission.

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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: 03/27/2014

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