Exchange Act Form 10-K

Forms and Documents

Document Name	Status
Form SEC 1673 Exchange Act Form 10-K Form and Instruction	Modified
Form 10-K Summary PRA Supporting Statement.pdf Supporting Statement A	2016-06-22
secsorn6.pdf Supplementary Document	2016-06-20
EDGAR PIA_Redacted.pdf Supplementary Document	2016-06-20

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: 201606-3235-009
Status: Historical Active	Previous ICR Reference No: 201409-3235-031
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: Emergency	Approval Requested By: 08/01/2016
OIRA Conclusion Action: Approved without change	Conclusion Date: 07/28/2016
	Date Received in OIRA: 06/23/2016
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2017	6 Months From Approved	03/31/2018
Responses	8,137	0	8,137
Time Burden (Hours)	12,228,620	0	12,198,095
Cost Burden (Dollars)	1,631,470,000	0	1,627,400,000

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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.

Emergency Justfication: The Commission requests an emergency extension for the following information collection because the amendment to these information collections conforms the form to make it consistent with the provisions of the newly enacted FAST Act. The Commission, for good cause, found that notice and comment were unnecessary because the amendment merely conform the information collections to the requirements of the FAST Act, and also found that there was good cause for the amendments to take effect on June 9, 2016, due to the Congressional request to adopt the amendments within 180 days of the enactment of the FAST Act.

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Authorizing Statute(s): US Code: 15 USC 78c, 78l, 78m, 78o, 78w(a) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: PL: Pub.L. 114 - 94 72001 Name of Law: Fixing America's Surface Transportation Act (FAST Act)

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AL89	Final or interim final rulemaking	81 FR 37132	06/09/2016

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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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	8,137	0	0	0	0
Annual Time Burden (Hours)	12,228,620	12,198,095	30,525	0	0	0
Annual Cost Burden (Dollars)	1,631,470,000	1,627,400,000	4,070,000	0	0	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 interim amendment implements Section 72001 of the FAST Act. Section 72001 of the FAST Act directs the Commission, not later than 180 days after the date of enactment, to issue regulations to permit “issuers” to submit a “summary page” on Form 10–K, but only if each item on such summary page includes a cross-reference (by electronic link or otherwise) to the material contained in Form 10–K to which such item relates. The interim amendment will increase the burdens and costs for registrants that elect to prepare the Form 10-K summary. The Commission estimates the program change attributable to the interim amendment will be an increase in burdens of 30,525 internal company burden hours and $4,070,000 in professional costs.

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Annual Cost to Federal Government: $75,000

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: 06/23/2016

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