Regulation 14N and Schedule 14N

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
January 2016 EDGAR PIA.pdf	Supplementary Document	Uploaded 2017-06-21	Available
Schedule 14N Supporting Statement.6-15-2017.pdf	Supporting Statement A	Uploaded 2017-06-21	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
190486	Regulation 14N and Schedule 14N		Modified

ICR Details

OMB Control No: 3235-0655	ICR Reference No: 201703-3235-011
Status: Historical Active	Previous ICR Reference No: 201312-3235-012
Agency/Subagency: SEC	Agency Tracking No: CF-270-598
Title: Regulation 14N and Schedule 14N
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: 06/29/2017
	Date Received in OIRA: 03/27/2017
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2020	36 Months From Approved	06/30/2017
Responses	10	0	42
Time Burden (Hours)	300	0	1,260
Cost Burden (Dollars)	40,000	0	168,000

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Abstract: Schedule 14N would require filing of certain information with the Commission by shareholders who submit nominees for director either under a company's governing documents.

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Authorizing Statute(s): US Code: 15 USC 78c, 78m, 78n, 78o, 78w(a) 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 80a-10, 80a-20(a), 80a-37 Name of Law: Investment Company Act of 1940
   PL: Pub.L. 111 - 203 971 Name of Law: Dodd-Frank Wall Street Reform And Consumer Protection Act
  

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:
	81 FR 89165	12/09/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	82 FR 15085	03/24/2017
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
Regulation 14N and Schedule 14N

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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	10	42	0	0	-32	0
Annual Time Burden (Hours)	300	1,260	0	0	-960	0
Annual Cost Burden (Dollars)	40,000	168,000	0	0	-128,000	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 960 annual burden hours and the decrease of ($128,000) in cost burden are due to an adjustment in the number of respondents that we estimate will file Schedule 14N.

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Annual Cost to Federal Government: $1,000

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: 03/27/2017

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