Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C)

ICR 202307-3235-010

OMB: 3235-0057

Federal Form Document

Forms and Documents
Supporting Statement A
Supplementary Document
IC Document Collections
ICR Details
3235-0057 202307-3235-010
Received in OIRA 202303-3235-025
SEC CF 270-057
Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C)
Revision of a currently approved collection   No
Regular 07/19/2023
  Requested Previously Approved
36 Months From Approved 04/30/2026
569 569
63,048 55,192
8,407,344 7,359,744

Schedule 14C is filed by issuers of securities that are registered under Section 12 of the Securities Exchange Act of 1934 in connection with a consent solicitation.

US Code: 15 USC 78c(b), 78n, 78w(a), 78mm Name of Law: Securities Exchange Act of 1934
   PL: Pub.L. 111 - 203 953(a) Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

3235-AL00 Final or interim final rulemaking 87 FR 55134 09/08/2022


IC Title Form No. Form Name
Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C)

  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 569 569 0 0 0 0
Annual Time Burden (Hours) 63,048 55,192 0 7,856 0 0
Annual Cost Burden (Dollars) 8,407,344 7,359,744 0 1,047,600 0 0
Changing Regulations
The amendments implement Section 14(i) of the Securities Exchange Act of 1934, as added by Section 953(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 14(i) directs the Commission to adopt rules requiring registrants to provide disclosure of pay versus performance in proxy or information statements in which executive compensation disclosure is required. As a result of these amendments, the Commission estimates that the impact will be an increase in the paperwork burden for affected entities. For purposes of the PRA, the Commission estimates that, for Regulation 14C and Schedule 14C, the amendments will result in a net increase of 7,856 burden hours, and a net increase of $1,047,600 in cost burden for the services of outside professionals.

Jennifer Zepralka 202 551-3430 [email protected]


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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