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

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC 1685 Form 13F, Report of Institutional Investment Managers	Form	Modified	Missing upstream
Emergency PRA Statement.docx	Supplementary Document	Uploaded 2022-03-05	Repair queued
Form 13F Supporting Statement (2022).pdf	Supporting Statement A	Uploaded 2021-11-17	Missing upstream

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34026	Form 13F, Report of Institutional Investment Managers	Form	Modified

ICR Details

OMB Control No: 3235-0006	ICR Reference No: 202111-3235-011
Status: Received in OIRA	Previous ICR Reference No: 201804-3235-001
Agency/Subagency: SEC	Agency Tracking No: IM-270-022
Title: Form 13F, Report of Institutional Investment Managers (pursuant to sec.13(f) of the Securities Exchange of 1934)
Type of Information Collection: Reinstatement with change of a previously approved collection	Common Form ICR:  No
Type of Review Request: Emergency	Approval Requested By: 03/08/2022
Date Submitted to OIRA: 03/05/2022

table that charts list comparision

	Requested	Previously Approved
Expiration Date	6 Months From Approved
Responses	28,004	0
Time Burden (Hours)	67,242	0
Cost Burden (Dollars)	4,846,374	0

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Abstract: 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.

Emergency Justfication: 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.

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Authorizing Statute(s): US Code: 15 USC Ch. 28, sec. 78m Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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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
Form 13F, Report of Institutional Investment Managers	SEC 1685	Form 13F

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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	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

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: 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

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Annual Cost to Federal Government:

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: 03/05/2022

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