Form S-1 Registration Statement

ICR 202101-3235-026

OMB: 3235-0065

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Supporting Statement A
2021-02-01
Supplementary Document
2021-01-26
IC Document Collections
IC ID
Document
Title
Status
34231 Modified
ICR Details
3235-0065 202101-3235-026
Received in OIRA 201911-3235-022
SEC CF-270-058
Form S-1 Registration Statement
Revision of a currently approved collection   No
Emergency 03/31/2021
02/03/2021
  Requested Previously Approved
6 Months From Approved 10/31/2022
894 901
146,067 147,208
178,922,043 180,319,975

Form S-1 under the Securities Act is used by issuers who are not eligible to use other forms to register offering of their securities.
The Commission did not originally propose amendments to Form S-1 and Form S-3. After considering public comments submitted in response to a request for comment in the proposing release, the Commission included amendments to these forms in the adopting release. In doing so, the Commission determined that re-proposing amendments to these forms was unnecessary before adopting these amendments, in view of the scope of the request for comment in the proposing release and the nature and scope of the amendments to these forms. See Attachments.

US Code: 15 USC 77f, 77g, 77h, 77j, 77s, 77z-3 Name of Law: Securities Act of 1933
   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-38 Name of Law: Investment Company Act of 1940
  
None

3235-AM31 Final or interim final rulemaking 85 FR 33290 06/06/2020

Yes

1
IC Title Form No. Form Name
Form S-1 Registration Statement SEC 870 Form S-1

  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 894 901 0 -7 0 0
Annual Time Burden (Hours) 146,067 147,208 0 -1,141 0 0
Annual Cost Burden (Dollars) 178,922,043 180,319,975 0 -1,397,932 0 0
No
Yes
Changing Regulations
The amendments in Release No. 33-10771 (IC-33836) will, among other things, permit issuers of “exchange-traded vehicle securities” to elect to register offerings of an indeterminate number of such securities and pay registration fees for these offerings on an annual net basis. We anticipate that the amendments will increase the paperwork burden for registration statements on Form S-1 for these offerings due to the requirement to calculate and pay registration fees on an annual net basis. We also anticipate that these amendments will result in a decrease in the number of registration statements on Form S-1 filed by these issuers, such that, overall, the amendments will reduce the paperwork burdens associated with this form. For purposes of the PRA, we estimate that, for Form S-1, the amendments will result in a net decrease of 1,141 burden hours and a net decrease in the cost burden of $1,397,932 for the services of outside professionals.

$103,479,690
No
    Yes
    No
No
No
No
No
Charles Kwon 202 551-3231

  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.
02/03/2021


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