Investor Form

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form 3235-0547 Investor Complaint Form	Form	Modified	Available
Form 3235-0547 Questions and Comments	Form and Instruction	Modified	Available
Form 3235-0547 Investor Form	Form and Instruction	Modified	Repair queued
SUPPORTING STATEMENT INVESTOR FORM 3235-0547 6.20.2023.docx	Supporting Statement A	Uploaded 2023-06-20	Missing upstream
3235-0547.pdf	Supplementary Document	Uploaded 2023-06-20	Repair queued
3235-0547.pdf	Supplementary Document	Uploaded 2023-06-20	Repair queued
3235-0547 30 Day Notice.pdf	Supplementary Document	Uploaded 2020-09-25	Repair queued
3235-0547 60 Day Notice.pdf	Supplementary Document	Uploaded 2020-09-25	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
35367	Investor Form	Form	Modified	Investor Complaint Form
35367	Investor Form	Form and Instruction	Modified	Questions and Comments
35367	Investor Form	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0547	ICR Reference No: 202306-3235-016
Status: Historical Active	Previous ICR Reference No: 202009-3235-009
Agency/Subagency: SEC	Agency Tracking No: OIEA-270-485
Title: Investor Form
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/11/2023
Retrieve Notice of Action (NOA)	Date Received in OIRA: 06/20/2023
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2026	36 Months From Approved	11/30/2023
Responses	30,000	0	20,000
Time Burden (Hours)	7,500	0	5,000
Cost Burden (Dollars)	0	0	0

---

Abstract: Each year, thousands of investors voluntarily use the SEC's Investor Form or write emails to submit complaints concerning their brokers or investments, to ask questions about the securities laws and the securities industry, or to provide other feedback. In order to make it easier for investors and for the SEC staff, the SEC replaced the paper and web forms with an e-filed dynamic form (the Investor Form). The Investor Form does not ask for any information that was not on the previous forms, and provides drop down choices for investors so the contacts can more efficiently be routed to the appropriate staff. The dual purpose of the form is to make it easier for the public to contact the agency with complaints, questions, tips, or other feedback and to to further streamline the workflow of Commission staff that record, process, and respond to investor contacts.

---

Authorizing Statute(s): None

Citations for New Statutory Requirements: None

---

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

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	88 FR 21728	04/11/2023
30-day Notice:	Federal Register Citation:	Citation Date:
	88 FR 39497	06/16/2023
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Investor Form	3235-0547, 3235-0547	Questions and Comments ,   Investor Complaint Form

---

ICR Summary of Burden

table that charts list of burden

	Total Approved	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	30,000	20,000	0	0	10,000	0
Annual Time Burden (Hours)	7,500	5,000	0	0	2,500	0
Annual Cost Burden (Dollars)	0	0	0	0	0	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: As noted above, based on the staff’s review of the Investor Form’s use in recent years, we anticipate that the number of contacts per year has increased from approximately 20,000 contacts per year to approximately 30,000 contacts per year, so the new burden is based on 30,000 users annually. The estimated time of 15 minutes to complete the Investor Form remains the same. As a result of the increased number of contacts per year, the total reporting burden has increased from 5,000 hours (20,000 respondents x 15 minutes) to 7,500 hours (30,000 respondents x 15 minutes). This change represents a 2,500 hour increase in the total reporting burden.

---

Annual Cost to Federal Government: $1,000

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.     Yes

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

---

Common Form ICR:  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:

(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: 06/20/2023

---