Exchange Act Form 10-K

Forms and Documents

Document Name	Status
Form SEC 1673 Exchange Act Form 10-K Form and Instruction	Modified
Supporting Statement Exhibit Hyperlinks Final.06-04-2018.pdf Supporting Statement A	2018-06-04
January 2016 EDGAR PIA.pdf Supplementary Document	2018-05-22

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: 201805-3235-024
Status: Historical Active	Previous ICR Reference No: 201710-3235-008
Agency/Subagency: SEC	Agency Tracking No: CF 270-048
Title: Exchange Act Form 10-K
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 07/09/2018
	Date Received in OIRA: 06/05/2018
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2021	36 Months From Approved	12/31/2020
Responses	8,137	0	8,137
Time Burden (Hours)	14,620,594	0	14,596,183
Cost Burden (Dollars)	1,950,114,190	0	1,946,859,390

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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.

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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 77f, 77g, 77h, 77j, 77s(a) Name of Law: Securities Act of 1933
   US Code: 15 USC 78ll Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AL95	Final or interim final rulemaking	82 FR 14130	03/17/2017

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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)	14,620,594	14,596,183	0	24,411	0	0
Annual Cost Burden (Dollars)	1,950,114,190	1,946,859,390	0	3,254,800	0	0

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 adopted amendments in Release No. 33-10322 would assist investors and other users by substantially easing the difficulties in retrieving exhibits included with filings. However, we anticipate the adopted 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-K would result in a net increase of 24,411 burden hours and a net increase in the cost burden of $3,254,800 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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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: 06/05/2018

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