Form 13F, Report of Institutional Investment Managers (pursuant to sec.13(f) of the Securities Exchange of 1934)

ICR 202111-3235-011

OMB: 3235-0006

Federal Form Document

Forms and Documents
Document
Name
Status
Form
Modified
Supplementary Document
2022-03-05
Supporting Statement A
2021-11-17
IC Document Collections
IC ID
Document
Title
Status
34026 Modified
ICR Details
3235-0006 202111-3235-011
Received in OIRA 201804-3235-001
SEC IM-270-022
Form 13F, Report of Institutional Investment Managers (pursuant to sec.13(f) of the Securities Exchange of 1934)
Reinstatement with change of a previously approved collection   No
Emergency 03/08/2022
03/05/2022
  Requested Previously Approved
6 Months From Approved
28,004 0
67,242 0
4,846,374 0

Form 13F is a quarterly report filed publicly by institutional investment managers that exercise investment discretion over $100 million or more in certain U.S. exchange-traded equities.
The collection of information is essential to the mission of the Commission. The existing approval has already expired. Therefore the Commission cannot reasonably comply with the normal clearance requirement of the PRA and applicable regulations because the use of normal clearance procedures is reasonably likely to prevent or disrupt the collection of information. The Commission has taken all practicable steps to consult with interested agencies and members of the public in order to minimize the burden of the collection of information.

US Code: 15 USC Ch. 28, sec. 78m Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

No

1
IC Title Form No. Form Name
Form 13F, Report of Institutional Investment Managers SEC 1685 Form 13F

  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 28,004 0 0 0 4,656 23,348
Annual Time Burden (Hours) 67,242 0 0 0 -405,280 472,522
Annual Cost Burden (Dollars) 4,846,374 0 0 0 4,846,374 0
No
No
The estimated total annual burden hours decreased by 405,279.6, from 472,521.6 to 67,242. The decrease in annual burden hours is due primarily to the Commission’s belief that the currently approved estimates do not appropriately reflect the information collection costs associated with Form 13F. The changes in burden also reflect the Commission’s revision and update of burden estimates for all information collections under this OMB control number, and the Commission requested public comment on all those information collection burden estimates for this OMB control number

No
    Yes
    No
No
No
No
No
James Maclean 202 551-7794

  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.
03/05/2022


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