Hart-Scott-Rodino (Premerger notification) Rules and Report Form

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form C4 Notification and Form for Certain Mergers and Acquisitions	Form	Modified	Available
Form C4 Non-index Filings	Form	Modified	Repair queued
HSR NPRM _ Supporting Statement-2023-FINAL.pdf	Supporting Statement A	Uploaded 2023-06-29	Available
HSR NPRM _ Supporting Statement-2023-FINAL.pdf	Supporting Statement A	Uploaded 2023-06-29	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
42609	Non-index Filings	Form	Modified	Notification and Form for Certain Mergers and Acquisitions
42609	Non-index Filings	Form	Modified
42609	Non-index Filings	Instruction	Modified
207722	Non-index filing for a withdrawn transaction not employing the two-day resubmission process		Unchanged
179429	Index Filings		Unchanged

ICR Details

OMB Control No: 3084-0005	ICR Reference No: 202306-3084-001
Status: Historical Inactive	Previous ICR Reference No: 202211-3084-002
Agency/Subagency: FTC	Agency Tracking No:
Title: Hart-Scott-Rodino (Premerger notification) Rules and Report Form
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 07/07/2023
Retrieve Notice of Action (NOA)	Date Received in OIRA: 06/29/2023
Terms of Clearance: OMB files this comment in accordance with 5 CFR 1320.11(c). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. Resubmit when proposed rule is finalized.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2026	36 Months From Approved	02/28/2026
Responses	7,109	0	7,109
Time Burden (Hours)	262,579	0	262,579
Cost Burden (Dollars)	0	0	0

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Abstract: The Federal Trade Commission (“FTC” or “Commission”) seeks OMB clearance for proposed revised information collection requirements under its Hart-Scott-Rodino Antitrust Improvements Act Rules (“HSR Rules”) and corresponding Premerger Notification and Report Form for Certain Mergers and Acquisitions (“Notification and Report Form” or “Form”). The proposed amendments are primarily changes to the information reported by entities for a proposed merger on the Notification and Report Form and do not affect the reportability of a proposed transaction. The proposed amendments would ensure that the FTC and the Assistant Attorney General in charge of the Antitrust Division of the Department of Justice (“the Agencies”) receive sufficient information with the Form to conduct a preliminary assessment within the initial waiting period (typically 30 days) to determine if the proposed transaction is likely to violate the antitrust laws. These amendments also incorporate changes required to implement the collection of information mandated by the Merger Filing Fee Modernization Act of 2022 contained within the Consolidated Appropriations Act, 2023 (Pub. L. 117-328, 136 Stat. 4459) to the HSR Act.

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Authorizing Statute(s): US Code: 15 USC 18a Name of Law: Clayton Act
   PL: Pub.L. 94 - 435 90 Stat. 1390 Name of Law: Hart-Scott-Rodino Antitrust Improvements Act of 1976
  

Citations for New Statutory Requirements: PL: Pub.L. 117 - 328 136 Stat. 4459 Name of Law: Merger Filing Fee Modernization Act of 2022

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3084-AB46	Proposed rulemaking	88 FR 42178	06/29/2023

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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: 3

table that charts list of burden

IC Title	Form No.	Form Name
Index Filings
Non-index Filings	C4	Notification and Form for Certain Mergers and Acquisitions
Non-index filing for a withdrawn transaction not employing the two-day resubmission process

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

Burden Increase Due to: Changing Regulations

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

Burden Reduction Due to:

Short Statement: The proposed changes to the HSR Rules and Notification and Report Form are expected to increase the burden on the affected members of the public by 759,272 annual hours from the currently cleared amount of 262,579 annual hours. About 5% of that proposed increase can be attributed to statutory mandates, while 95% to changing regulations to help ensure that the Agencies have enough information to determine if a proposed merger is anti-competitive or not.

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Annual Cost to Federal Government: $0

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.     No

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: 06/29/2023

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