Form 40-F

Forms and Documents

Document Name	Status
Form SEC 2285 Form 40-F Form and Instruction	Modified
FAST Act Final Supporting Statement.03-28-2019.pdf Supporting Statement A	2019-03-28
January 2016 EDGAR PIA.pdf Supplementary Document	2019-03-27

IC Document Collections

IC ID	Document Title	Status
34962	Form 40-F Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0381	ICR Reference No: 201903-3235-033
Status: Historical Inactive	Previous ICR Reference No: 201809-3235-003
Agency/Subagency: SEC	Agency Tracking No: CF 270-335
Title: Form 40-F
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: 05/23/2019
	Date Received in OIRA: 04/02/2019
Terms of Clearance: OMB files this comment in accordance with 5 CFR 1320.11( c ). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. 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.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2022	36 Months From Approved	02/28/2022
Responses	132	0	132
Time Burden (Hours)	14,187	0	14,187
Cost Burden (Dollars)	17,025,360	0	17,025,360

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Abstract: Form 40-F is used by certain Canadian issuers to register a class of securities pursuant to Section 12(b) or (g) or to satisfy their annual reporting obligations pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934.

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Authorizing Statute(s): US Code: 15 USC 77g, 77j, 77s(a), 77z-3 Name of Law: Securities Act of 1933
   US Code: 15 USC 78c(b), 78l, 78m, 78n, 78o, Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78p, 78w(a), 78mm Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: PL: Pub.L. 114 - 94 72003 Name of Law: Fixing America's Surface Transportation Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AM00	Proposed rulemaking	82 FR 50988	11/02/2017

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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
Form 40-F	SEC 2285	Form 40-F

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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 proposed amendments in Release No. 33-10425 would modernize and simplify certain disclosure requirements in Regulation S-K, while continuing to provide all material information to investors. The amendments are also intended to improve the readability and navigability of disclosure documents and discourage repetition and disclosure of immaterial information. We anticipate that the amendments would, in the aggregate, reduce the burdens and costs to registrants associated with compliance with the federal securities disclosure regime. These estimated burden and cost reductions are expected to result primarily from proposed amendments to the Commission’s disclosure requirements that would allow registrants, in some circumstances, to eliminate the earliest year of the MD&A discussion; permit registrants, in certain circumstances, to omit, without a confidential treatment request, schedules and attachments that are not material and confidential information in material contracts exhibits that is both (i) not material and (ii) competitively harmful if publicly disclosed; and simplify and modernize executive officer, Section 16(a) compliance and corporate governance disclosure requirements. For purposes of the PRA, we estimate that the proposed amendments to Form 40-F would result in a net increase of 40 burden hours and a net increase in the cost burden of $40,000 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: 04/02/2019

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