Form 13F (17 CFR 249.325) is a quarterly report filed publicly by institutional investment managers that exercise investment discretion over $100 million or more in certain U.S. exchange-traded equities. Section 13(f) of the Exchange Act of 1934 empowers the Commission to, among other things, adopt rules that create a reporting and disclosure system to collect specific information. The Commission then adopted rule 13f-1 under the 1934 Act (17 CFR 240.13f-1), which requires certain reporting by institutional investment managers on Form 13F.
US Code:
15 USC 78m
Name of Law: Securities Exchange Act of 1934
The estimated total annual burden hours decreased from 101,339.29 to 74,620 hours (a decrease of 26,719.29 hours). The estimated cost burden of $7,021,300 has increased by $2,174,926 from the prior estimate of $4,846,374. The changes in burden reflect changes in the number of affected entities and in the external cost associated with the information collection requirements. These changes reflect revised estimates and burdens attributable to requirements under the rule and form.
$0
No
Yes
No
No
No
No
No
Y. Rachel Kuo 202 551-3589
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.
Form SEC 1685 Form 13F
Comment on 1040 instructions signed.pdf
Form 13F, Report of Institutional Investment Managers