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

ICR 202209-3235-012

OMB: 3235-0006

Federal Form Document

Forms and Documents
IC Document Collections
34026 Modified
ICR Details
3235-0006 202209-3235-012
Received in OIRA 202203-3235-014
SEC IM-270-022
Form 13F, Report of Institutional Investment Managers (pursuant to sec.13(f) of the Securities Exchange of 1934)
Revision of a currently approved collection   No
Regular 09/15/2022
  Requested Previously Approved
36 Months From Approved 09/30/2025
28,004 28,004
93,873 67,242
4,846,374 4,846,374

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.

US Code: 15 USC Ch. 28, sec. 78m Name of Law: Securities Exchange Act of 1934

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


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 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
Miscellaneous Actions
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.

Benjamin Tecmire 202 551-7317


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.

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