Securities Act Rule 155

ICR 201911-3235-017

OMB: 3235-0549

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2019-11-19
Supplementary Document
2019-11-21
Supplementary Document
2019-11-21
Supplementary Document
2019-11-19
IC Document Collections
IC ID
Document
Title
Status
35372
Modified
ICR Details
3235-0549 201911-3235-017
Active 201609-3235-006
SEC CF 270-492
Securities Act Rule 155
Extension without change of a currently approved collection   No
Regular
Approved without change 01/15/2020
Retrieve Notice of Action (NOA) 11/21/2019
  Inventory as of this Action Requested Previously Approved
01/31/2023 36 Months From Approved 01/31/2020
600 0 600
1,200 0 1,200
480,000 0 480,000

Rule 155 under the Securities Act provides safe harbors for a registered offering following an abandoned private offering, or a private offering following an abandoned registered offering, without integrating the registered and private offering in either case.

US Code: 15 USC 77b(b), 77f, 77g, 77h, 77s Name of Law: Securities Act of 1933
  
None

Not associated with rulemaking

  84 FR 37919 08/02/2019
84 FR 63944 11/19/2019
No

1
IC Title Form No. Form Name
Securities Act Rule 155

  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 600 600 0 0 0 0
Annual Time Burden (Hours) 1,200 1,200 0 0 0 0
Annual Cost Burden (Dollars) 480,000 480,000 0 0 0 0
No
No

$102,000,000
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.
11/21/2019


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