Regulation D Rule 504(b)(3)-Felons and Other Bad Actors Disclosure Statement

ICR 202003-3235-014

OMB: 3235-0746

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2020-03-19
Supplementary Document
2020-03-19
Supplementary Document
2020-03-19
Supplementary Document
2020-03-19
ICR Details
3235-0746 202003-3235-014
Active 201612-3235-002
SEC CF-270-798
Regulation D Rule 504(b)(3)-Felons and Other Bad Actors Disclosure Statement
Extension without change of a currently approved collection   No
Regular
Approved without change 04/23/2020
Retrieve Notice of Action (NOA) 03/20/2020
  Inventory as of this Action Requested Previously Approved
04/30/2023 36 Months From Approved 04/30/2020
808 0 808
880 0 880
9,600 0 9,600

Regulation D Rule 504(b)(3) requires issuers to provide disclosure to purchasers regarding past disqualifying events enumerated in Regulation D Rule 506(d).

US Code: 15 USC 77c(b)(1), 77s, 77z-3 Name of Law: Securities Act of 1933
   US Code: 15 USC 78l, 78m, 78o, 78w(a), 78mm Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  85 FR 149 01/02/2020
85 FR 14264 03/11/2020
No

  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 808 808 0 0 0 0
Annual Time Burden (Hours) 880 880 0 0 0 0
Annual Cost Burden (Dollars) 9,600 9,600 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.
03/20/2020


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