Form S-3 - Registration Statement

Forms and Documents

Document Name	Status
Form SEC-1379 Form S-3 - Registration Statement Form and Instruction	Modified
Privacy Discussion Attachment.pdf Supplementary Document	2015-03-19
secsorn1.pdf Supplementary Document	2014-10-17
FR 33-9638 PRA Supporting Statement 3-19-2015.pdf Supporting Statement A	2015-03-19
EDGAR PIA_Redacted.pdf Supplementary Document	2014-10-09

IC Document Collections

IC ID	Document Title	Status
34287	Form S-3 - Registration Statement Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0073	ICR Reference No: 201410-3235-005
Status: Historical Active	Previous ICR Reference No: 201108-3235-005
Agency/Subagency: SEC	Agency Tracking No: CF-270-061
Title: Form S-3 - Registration Statement
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	03/31/2015
Responses	1,082	0	2,069
Time Burden (Hours)	127,806	0	244,399
Cost Burden (Dollars)	153,367,008	0	293,278,496

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Abstract: Form S-3 under the Securities Act is the short form registration statement used by domestic issuers to register offerings of their securities.

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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 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
   US Code: 15 USC 77e, 77f, 77g, 77h, 77j, Name of Law: Securities Act of 1933
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 939A Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

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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
Form S-3 - Registration Statement	SEC-1379	Form S-3 - Registration Statement

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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	1,082	2,069	0	-71	-916	0
Annual Time Burden (Hours)	127,806	244,399	0	-22,720	-93,873	0
Annual Cost Burden (Dollars)	153,367,008	293,278,496	0	-27,264,000	-112,647,488	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: Yes

Burden Reduction Due to: Changing Regulations

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 decrease of 22,720 burden hours and decrease of cost burden by $27,264,000 for services of outside professionals for Form S-3 is due to moving asset-backed issuers from Form S-3 to new Form SF-3. An adjustment to the current annual responses was made to reflect the average number of filings that the Commission received from 2011 to 2013. Please reference OMB ICR Reference No: 201111-3235-031 available at omb.report for information on the proposed rule PRA submission.

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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]? 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: 10/22/2014

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