Rule 12d1-3

ICR 201908-3235-011

OMB: 3235-0109

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2019-08-21
Supplementary Document
2019-08-16
Supplementary Document
2019-08-16
IC Document Collections
IC ID
Document
Title
Status
34369
Modified
ICR Details
3235-0109 201908-3235-011
Active 201606-3235-005
SEC CF 270-116
Rule 12d1-3
Extension without change of a currently approved collection   No
Regular
Approved without change 10/11/2019
Retrieve Notice of Action (NOA) 08/20/2019
In future iterations of this collection, please ensure that the Federal Register notices attached in ROCIS for this ICR are PDFs of the actual Federal Register notices, not the Word or PDF documents SEC submitted to the Federal Register.
  Inventory as of this Action Requested Previously Approved
10/31/2022 36 Months From Approved 10/31/2019
688 0 688
344 0 344
0 0 0

Rule 12d1-3 requires a certification that a security has been approved by an exchange for listing and registration pursuant to Section 12(d) of the Securities Exchange Act of 1934 to be filed with the Commission.

US Code: 15 USC 78l(d), 78w(a) Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  84 FR 20914 05/13/2019
84 FR 37357 07/31/2019
No

1
IC Title Form No. Form Name
Rule 12d1-3

  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 688 688 0 0 0 0
Annual Time Burden (Hours) 344 344 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
    No
    No
No
No
No
Uncollected
Sean Harrison 202 942-2910

  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.
08/20/2019


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