Exchange Act Form 10-Q

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC-1296 Exchange Act Form 10-Q	Form and Instruction	Modified	Available
Electronic Data Gathering Analysis and Retrieval System (EDGAR). January 29,2016.pdf	Supplementary Document	Uploaded 2017-06-13	Available
OMB Supporting Statement Exhibit Hyperlinks Proposing Release.6-13-2017.pdf	Supporting Statement A	Uploaded 2017-06-13	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34260	Exchange Act Form 10-Q	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0070	ICR Reference No: 201610-3235-023
Status: Historical Inactive	Previous ICR Reference No: 201501-3235-014
Agency/Subagency: SEC	Agency Tracking No: CF 270-49
Title: Exchange Act Form 10-Q
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 06/20/2017
	Date Received in OIRA: 01/06/2017
Terms of Clearance: SEC updated supporting statement to more accurately update privacy discussion. 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.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2018	36 Months From Approved	09/30/2018
Responses	22,907	0	22,907
Time Burden (Hours)	3,220,037	0	3,220,037
Cost Burden (Dollars)	429,368,808	0	429,368,808

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Abstract: Form 10-Q is filed by issuers of securities to satisfy their quarterly reporting obligations pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934.

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Authorizing Statute(s): US Code: 15 USC 78c, 78l, 78m, 78o(d), 78w(a) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78ll Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 77f, 77g, 77h, 77j, 77s(a) Name of Law: Securities Act of 1933
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AL95	Proposed rulemaking	81 FR 62689	09/12/2016

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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

table that charts list of burden

IC Title	Form No.	Form Name
Exchange Act Form 10-Q	SEC-1296	Form 10-Q

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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: The proposed amendments in Release No. 33-10201 would assist investors and other users by substantially easing the difficulties in retrieving exhibits attached to filings. However, we anticipate the proposed amendments would increase the burdens and costs for registrants to prepare and review filings that contain hyperlinks to the exhibits attached to a filing. For purposes of the PRA, we estimate that the proposed amendments to Form 10-Q would result in a net increase of 34,361 burden hours and a net increase in the cost burden of $4,581,600 for the services of outside professionals.

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Annual Cost to Federal Government: $150,000

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: 01/06/2017

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