Investor Form

ICR 201706-3235-017

OMB: 3235-0547

Federal Form Document

Forms and Documents
Document
Name
Status
Form
Modified
Supporting Statement A
2017-07-26
IC Document Collections
IC ID
Document
Title
Status
35367 Modified
ICR Details
3235-0547 201706-3235-017
Historical Active 201409-3235-013
SEC OIEA-270-485
Investor Form
Extension without change of a currently approved collection   No
Regular
Approved without change 10/27/2017
Retrieve Notice of Action (NOA) 07/26/2017
  Inventory as of this Action Requested Previously Approved
10/31/2020 36 Months From Approved 10/31/2017
20,000 0 20,000
5,000 0 5,000
0 0 0

Each year, thousands of investors voluntarily use the SEC's Investor Form or write emails to submit complaints concerning their brokers or investments, to ask questions about the securities laws and the securities industry, or to provide other feedback. In order to make it easier for investors and for the SEC staff, the SEC replaced the paper and web forms with an e-filed dynamic form (the Investor Form). The Investor Form does not ask for any information that was not on the previous forms, and provides drop down choices for investors so the contacts can more efficiently be routed to the appropriate staff. The dual purpose of the form is to make it easier for the public to contact the agency with complaints, questions, tips, or other feedback and to to further streamline the workflow of Commission staff that record, process, and respond to investor contacts.

None
None

Not associated with rulemaking

  82 FR 12378 03/02/2017
82 FR 22027 05/11/2017
No

1
IC Title Form No. Form Name
Investor Form NA, N/A Investor Complaint Form Part 1 ,   Investor Complaint Form part 2

  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 20,000 20,000 0 0 0 0
Annual Time Burden (Hours) 5,000 5,000 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$1,000
No
    Yes
    Yes
No
No
No
Uncollected
Rahman Harrison 202 551-6359

  No

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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
07/26/2017


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