Exchange Act Form 10-K

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC 1673 Form 10-K	Form and Instruction	Modified	Available
Form SEC 1673 Exchange Act Form 10-K	Form and Instruction	Modified	Repair queued
Supporting Statement.ClawBacks.Final.04-18-2024.pdf	Supporting Statement A	Uploaded 2024-04-18	Repair queued
ProposedRelease.33-10998.Reopencomment.10-14-2021.pdf	Supplementary Document	Uploaded 2024-04-17	Repair queued
Proposed Release33-11071.Reopencomment.6-8-2022.pdf	Supplementary Document	Uploaded 2024-04-16	Repair queued
March 22, 2023 EDGAR PIA.pdf	Supplementary Document	Uploaded 2024-04-11	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34213	Exchange Act Form 10-K	Form and Instruction	Modified	Form 10-K
34213	Exchange Act Form 10-K	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0063	ICR Reference No: 202404-3235-012
Status: Historical Inactive	Previous ICR Reference No: 202312-3235-012
Agency/Subagency: SEC	Agency Tracking No: CF 270-048
Title: Exchange Act Form 10-K
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: 05/21/2024
Retrieve Notice of Action (NOA)	Date Received in OIRA: 04/18/2024
Terms of Clearance: OIRA will review the submission again upon finalization of the rule.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2026	36 Months From Approved	12/31/2026
Responses	8,292	0	8,292
Time Burden (Hours)	13,988,811	0	13,988,811
Cost Burden (Dollars)	1,835,594,519	0	1,835,594,519

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Abstract: Form 10-K is filed by issuers of securities to satisfy their annual report obligations pursuant to Sections 13 and 15(d) of the Exchange Act.

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Authorizing Statute(s): US Code: 15 USC 77f, 77g, 77j, 77s(a) Name of Law: Securities Act of 1933
   US Code: 15 USC 78j-4, 78m, 78n, 78w(a), 78mm Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK99	Proposed rulemaking	80 FR 41144	07/14/2015

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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

table that charts list of burden

IC Title	Form No.	Form Name
Exchange Act Form 10-K	SEC 1673	Form 10-K

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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 rule and rule amendments would direct the national securities exchanges and national securities associations to establish listing standards that require each issuer to develop and implement a policy providing for the recovery, under certain circumstances, of incentive-based compensation based on financial information required to be reported under the securities laws that is received by current or former executive officers and require the disclosure of the policy. A listed issuer would be required to file the policy as an exhibit to its annual report, and to make other disclosures in the event recovery is triggered. As a result of these proposed amendments, for purposes of the PRA, we estimate that, for Form 10-K, the proposed amendments would result in an increase of 5,246 burden hours and $138,600 for the services of outside professionals.

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Annual Cost to Federal Government: $129,168,390

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: 04/18/2024

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