Regulation S-K.SS.2018

SUPPORTING STATEMENT
FOR THE PAPERWORK REDUCTION ACT INFORMATION COLLECTION
SUBMISSION FOR REGULATION S-K
A.

JUSTIFICATION
1.

Circumstances Making the Collection of Information Necessary

Regulation S-K specifies uniform disclosure requirements applicable to
registration statements under the Securities Act of 1933; registration statements under
Section 12 of the Securities Exchange Act of 1934, periodic reports under Sections 13
and 15(d) of the Exchange Act, going-private transaction and tender offer statements
under Section 13 and 14 of the Exchange Act and proxy and information statements
under Section 14 of the Exchange Act.
2.

Purpose and Use of the Information Collection

The purpose of the information collection is to provide a uniform disclosure
regulation under the Securities Act and the Exchange Act. The information collected is
designed to provide material information to investors and security holders to enable them
to make informed investment and voting decisions.
3.

Consideration Given to Information Technology

All of the forms and schedules that require Regulation S-K disclosure are filed
electronically using the Commission’s Electronic Data Gathering, Analysis, and Retrieval
(“EDGAR”) System.
4.

Duplication of Information
The disclosure does not duplicate, overlap, or conflict with other federal rules.

5.

Reducing the Burden on Small Entities

Regulation S-K does not directly impose any collection requirements and has no
effect on small entities in terms of information collection requirements.
6.

Consequences of Not Conducting Collection
Regulation S-K does not directly impose any collection requirement.

7.

Special Circumstances
Not Applicable.

8.

Consultations with Persons Outside the Agency

Regulation S-K Notice was published for public comment. No comments were
received on this request prior to OMB’s review of this submission.
9.

Payment or Gift to Respondents
Not Applicable.

10.

Confidentiality
Not Applicable.

11.

Sensitive Questions

No information of a sensitive nature, including social security numbers, will be
required under this collection of information. The information collection does not collect
personally identifiable information (PII). The agency has determined that a system of
records notice (SORN) and privacy impact assessment (PIA) are not required in
connection with the collection of information.
12.

Estimate of Respondent Reporting Burden

Regulation S-K is assigned one burden hour for administrative convenience. The
burdens are reflected in the forms containing Regulation S-K disclosure.
13.

Estimate of Total Annualized Cost Burden
Not Applicable.

14.

Costs to Federal Government
Not Applicable.

15.

Reason for Change in Burden
Not Applicable.

16.

Information Collection Planned for Statistical Purposes
Not Applicable.

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17.

Approval to Omit OMB Expiration Date

We request authorization to omit the expiration date on the electronic version of
the form. Including the expiration date on the electronic version of the form will result in
increased costs because the need to make changes to the form may not follow the
application’s scheduled version release dates. The OMB control number will be
displayed.
18.

Exceptions to Certification for Paperwork Reduction Act Submissions
Not Applicable.

B.

STATISTICAL METHODS
Not Applicable.

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