Exchange Act Form 10-K

Forms and Documents

Document Name	Status
Form SEC 1673 Exchange Act Form 10-K Form and Instruction	Modified
Privacy Discussion Attachment.pdf Supplementary Document	2015-03-19
FR 33-9638 PRA Supporting Statement 3 19 15.pdf Supporting Statement A	2015-03-19
EDGAR PIA_Redacted.pdf Supplementary Document	2014-10-06
Form 10-K.secsorn6.pdf Supplementary Document	2014-10-06

IC Document Collections

IC ID	Document Title	Status
34213	Exchange Act Form 10-K Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0063	ICR Reference No: 201409-3235-031
Status: Historical Active	Previous ICR Reference No: 201309-3235-017
Agency/Subagency: SEC	Agency Tracking No: CF 270-48
Title: Exchange Act Form 10-K
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 03/19/2015
	Date Received in OIRA: 10/22/2014
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2018	36 Months From Approved	04/30/2015
Responses	8,137	0	14,296
Time Burden (Hours)	12,198,095	0	21,430,988
Cost Burden (Dollars)	1,627,400,000	0	2,857,465,000

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Abstract: Form 10-K is filed by issuers of securities to satisfy their annual report obligations pursuant to Sections 13 and 15(d) of the Exchange Act.

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

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK37	Final or interim final rulemaking	79 FR 57184	09/24/2014

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Exchange Act Form 10-K	SEC 1673	Form 10-K

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ICR Summary 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	8,137	14,296	0	0	-6,159	0
Annual Time Burden (Hours)	12,198,095	21,430,988	0	3,923	-9,236,816	0
Annual Cost Burden (Dollars)	1,627,400,000	2,857,465,000	0	523,000	-1,230,588,000	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: In Release No. 33-9638, the Securities and Exchange Commission adopted amendments to several rules and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 relating to asset-backed securities. The increased burden of 3,923 hours and a cost burden of $523,000 for services of outside professionals for Form 10-K is necessary to provide expanded disclosure about material instances of noncompliance with the servicing criteria in Item 1122 of Regulation AB relating to the transaction. An adjustment to the current annual responses was made to reflect the average number of filings that the Commission received from 2011 to 2013.

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Annual Cost to Federal Government: $200,000

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]? 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: 10/22/2014

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