Exchange Act Form 10-K

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC 1673 Exchange Act Form 10-K	Form and Instruction	Modified	Missing upstream
PRA supporting statement.Final.pdf	Supporting Statement A	Uploaded 2021-02-01	Repair queued
February 5, 2020 EDAGR PIA.pdf	Supplementary Document	Uploaded 2021-01-21	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34213	Exchange Act Form 10-K	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0063	ICR Reference No: 202101-3235-003
Status: Received in OIRA	Previous ICR Reference No: 201911-3235-019
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	Date Submitted to OIRA: 02/03/2021

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	10/31/2022
Responses	8,286	8,137
Time Burden (Hours)	14,198,998	14,198,780
Cost Burden (Dollars)	1,895,253,919	1,895,224,719

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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, 78d, 78j, 78l, 78m, 78n, Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78q, 78w, 78ll, 78mm Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 80a-6, 80a-8, 80a-20, 80a-23 Name of Law: Investment Company Act of 1940
   US Code: 15 USC 80a-24, 80a-30, 80a-31, 80a-38 Name of Law: Investment Company Act of 1940
   US Code: 15 USC 77f, 77g, 77h, 77j, 77s, 77z-3 Name of Law: Securities Act of 1933
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AM31	Final or interim final rulemaking	85 FR 33290	06/06/2020

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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

table that charts list of burden

IC Title	Form No.	Form Name
Exchange Act Form 10-K	SEC 1673	Form 10-K

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ICR Summary of Burden

table that charts list of burden

	Total Request	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	8,286	8,137	0	149	0	0
Annual Time Burden (Hours)	14,198,998	14,198,780	0	218	0	0
Annual Cost Burden (Dollars)	1,895,253,919	1,895,224,719	0	29,200	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 amendments in Release No. 33-10771 (IC-33836) will modify the registration, communications, and offering processes for registered closed-end funds and business development companies. The collections of information related to Form 10-K will tailor the disclosure framework for business development companies in light of the amendments to the offering rules applicable to them. For purposes of the PRA, we estimate that the amendments related to Form 10-K will result in a net increase of 218 burden hours and a net increase in the cost burden of $29,200 for the services of outside professionals. These changes are due to amendments that will require business development companies to provide additional disclosure on Form 10-K.

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Annual Cost to Federal Government: $103,479,690

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.     Yes

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? No

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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: 02/03/2021

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