EDGAR Filer Management Dashboard

Forms and Documents

Document Name	Status
Short Stmt EDGAR Filer Access Accnt Mngmt.Final.docx Supplementary Document	2023-11-16
Supporting Statement.EDGAR Filer Access and Account Management.Final.docx Supporting Statement A	2023-11-16
March 22, 2023 EDGAR PIA.pdf Supplementary Document	2023-11-14

IC Document Collections

IC ID	Document Title	Status
263400	EDGAR Filer Management Dashboard	New

ICR Details

OMB Control No:	ICR Reference No: 202311-3235-021
Status: Received in OIRA	Previous ICR Reference No:
Agency/Subagency: SEC	Agency Tracking No:
Title: EDGAR Filer Management Dashboard
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 11/17/2023

	Requested	Previously Approved
Expiration Date	36 Months From Approved
Responses	220,000	0
Time Burden (Hours)	220,000	0
Cost Burden (Dollars)	0	0

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Abstract: The EDGAR Filer Management Dashboard is an interactive function on EDGAR where electronic filers manage their EDGAR accounts and individuals that electronic filers authorize may take relevant actions for the electronic filers’ accounts.

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Authorizing Statute(s): US Code: 15 USC 78c, 78d-1, 78d-2, 78l, 78m Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78n, 78o, 78o-4, 78w, 78ll Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 80a-8, 80a-29, 80a-30, 80a-37 Name of Law: Investment Company Act of 1940
   US Code: 15 USC 77sss Name of Law: Trust Indenture Act of 1939
   US Code: 15 USC 77f, 77g, 77h, 77j, 77s(a) Name of Law: Securities Act of 1933
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AM58	Proposed rulemaking	88 FR 65524	09/22/2023

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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: 1

IC Title	Form No.	Form Name
EDGAR Filer Management Dashboard

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ICR Summary of Burden

	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	220,000	0	0	220,000	0	0
Annual Time Burden (Hours)	220,000	0	0	220,000	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

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: On September 13, 2023, the Commission proposed rule and form amendments concerning access to and management of accounts on EDGAR that are related to potential technical changes to EDGAR (collectively referred to as “EDGAR Next”). If the proposed rule and form changes are adopted, filers would be required to obtain individual account credentials and comply with certain account access and management requirements by taking action on a new filer management tool, the EDGAR Filer Management Dashboard (“the dashboard”), available on EDGAR. Moreover, certain additional disclosure obligations would be required on the Form ID application for access. The proposed revisions to Form ID also would result in a more uniform and secure process for requesting EDGAR access by requiring submission of a new Form ID if the applicant claims to already have an identification number (CIK) but no longer has access to EDGAR. The proposed amendments would also simplify filer account management by eliminating certain EDGAR access codes that would no longer be necessary due to the use of individual account credentials. The EDGAR Next proposed rule and form amendments also include implementation of the dashboard, an interactive function on EDGAR where electronic filers would manage their EDGAR accounts and where individuals that electronic filers would authorize could take relevant actions for the electronic filers’ accounts. We estimate that each filer would spend approximately one hour setting up the dashboard, and approximately one hour per annum managing the filer’s account on the dashboard. This burden would vary across filers depending on the size of the filer, the number of individuals and entities the filer has authorized to act on the dashboard on its behalf, as well as the amount of annual staff turnover for those individuals and entities, among other factors. Consequently, the anticipated total annual burden attributed to the dashboard would be approximately 220,000 burden hours.

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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.     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.     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: 11/17/2023

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