Form ID - EDGAR Password

ICR 202104-3235-022

OMB: 3235-0328

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2021-04-29
IC Document Collections
IC ID
Document
Title
Status
34859
Modified
ICR Details
3235-0328 202104-3235-022
Received in OIRA 202103-3235-001
SEC CF 270-291
Form ID - EDGAR Password
Revision of a currently approved collection   No
Regular 04/30/2021
  Requested Previously Approved
36 Months From Approved 05/31/2022
57,681 48,493
8,652 7,274
0 0

Form ID is used by respondents to apply for identification numbers and passwords used in conjunction with the EDGAR electronic filing system.

US Code: 15 USC 77d, 77f, 77g, 77h, 77j, Name of Law: Securities Act of 1933
   US Code: 15 USC 77s(a), 77z-3 Name of Law: Securities Act of 1933
   US Code: 15 USC 78c, 78p, 78w(a) Name of Law: Securities Exchange Act of 1934
  
None

3235-AM78 Proposed rulemaking 86 FR 5063 01/19/2021

No

1
IC Title Form No. Form Name
Form ID - EDGAR Password

  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 57,681 48,493 0 9,188 0 0
Annual Time Burden (Hours) 8,652 7,274 0 1,378 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
Changing Regulations
No
The proposed amendments would amend Rule 144(d)(3)(ii) to revise the holding period determination for securities acquired upon the conversion or exchange of certain market-adjustable securities of an issuer that does not have a class of securities listed, or approved to be listed, on a national securities exchange registered pursuant to Section 6 of the Exchange Act. As a result, the holding period for the underlying securities would not begin until conversion or exchange. The proposed amendments would also mandate the electronic filing of all Form 144 notices related to the resale of securities of issuers that are subject to the reporting requirements of Section 13 or 15(d) of the Exchange Act, and eliminating the filing requirement for Form 144 notices related to the resale of securities of issuers that are not subject to Exchange Act reporting. Additionally, the proposed amendments would eliminate two unnecessary data fields, and the Commission intend to create an online fillable document for entering the information required by Form 144. The amendments would also change the filing deadline for Form 144 to coincide with the filing deadline for Form 4. Finally, the proposed amendments would amend Forms 4 and 5 to add a check box to permit filers to indicate that a sale or purchase reported on the form was made pursuant to a transaction that satisfied Rule 10b5-1(c). For Form ID, the Commission estimates that proposed amendments would result in an increase of 1,378 internal burden hours and no change in outside professional costs.

$103,479,690
No
    Yes
    No
No
No
No
No
John Fieldsend 202 551-3343

  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.
04/30/2021


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