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
Form 13F (P - EFiling) Supporting Statement.pdf	Supporting Statement A	Uploaded 2022-09-15	Repair queued

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: 202209-3235-012
Status: Received in OIRA	Previous ICR Reference No: 202203-3235-014
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: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 09/15/2022

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	09/30/2025
Responses	28,004	28,004
Time Burden (Hours)	93,873	67,242
Cost Burden (Dollars)	4,846,374	4,846,374

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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.

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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:
3235-AM97	Proposed rulemaking	86 FR 64839	11/19/2021

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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	28,004	0	0	0	0
Annual Time Burden (Hours)	93,873	67,242	0	26,631	0	0
Annual Cost Burden (Dollars)	4,846,374	4,846,374	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

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

Burden Reduction Due to:

Short Statement: The estimated total annual burden hours increased by 26,630.7 from 67,242 to 93,872.7 hours. The increase in annual burden hours is due to the Commission’s proposed amendments to Form 13F. The proposed amendments will not change the currently approved external cost burden to comply with Form 13F.

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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: 09/15/2022

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