Rule 10b-17, Untimely announcement of record dates (17 CFR 240. 10b-17)

ICR 202308-3235-003

OMB: 3235-0476

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2023-10-16
Supplementary Document
2023-10-16
Supporting Statement A
2023-08-03
Supplementary Document
2020-09-21
Supplementary Document
2020-09-21
IC Document Collections
ICR Details
3235-0476 202308-3235-003
Received in OIRA 202006-3235-021
SEC TM 270-427
Rule 10b-17, Untimely announcement of record dates (17 CFR 240. 10b-17)
Extension without change of a currently approved collection   No
Regular 10/16/2023
  Requested Previously Approved
36 Months From Approved 11/30/2023
29,952 28,407
4,992 4,735
0 0

Rule 10b-17 requires any issuer of a class of securities publicly traded by the use of any means or instrumentality of interstate commerce or of the mails or of any facility of any national securities exchange to give notice of the following actions relating to such class of securities: (1) a dividend, (2) a stock split, or (3) a rights or other subscription offering. Notice shall either be given to the Financial Industry Regulatory Authority, Inc. ("FINRA") (as successor to the National Association of Securities Dealers, Inc.) or be given in accordance with the procedures of the national securities exchange upon which the securities are registered. The Commission may exempt the issuer in circumstances where the issuer is reporting to FINRA.

US Code: 15 USC 78j(b) and 78w(a) Name of Law: Sections10(b) and 23(a) of the Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  88 FR 53934 08/09/2023
88 FR 71388 10/16/2023
No

1
IC Title Form No. Form Name
Rule 10b-17, Untimely announcement of record dates (17 CFR 240. 10b-17)

  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 29,952 28,407 0 0 1,545 0
Annual Time Burden (Hours) 4,992 4,735 0 0 257 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The change in the estimated annual hour burden is due to an increase in the estimated number of responses. The Commission estimates that there were 28,407 responses in 2019 and 29,952 responses in 2022. Due to this increase, the Commission estimates that the estimated total aggregate burden hours will increase from 4,735 hours per year to 4,992 hours per year.

$0
No
    No
    No
No
No
No
No
Roland Lindmayer 202 551-2250

  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:
 
 
 
 
 
 
 
    (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.
10/16/2023


© 2024 OMB.report | Privacy Policy