Securities Act Rule 477

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
3235-0550_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-04-13	Available
20260129_3235-0550_2026-01724_91 FR 3934_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2026-01-29	Available
Rule 477.SupportingStatement.2026.Final.pdf	Supporting Statement A	Uploaded 2026-01-23	Available
March 6, 2025.EDGAR PIA.pdf	Supplementary Document	Uploaded 2026-01-23	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
35375	Securities Act Rule 477		Modified

ICR Details

OMB Control No: 3235-0550	ICR Reference No: 202601-3235-006
Status: Received in OIRA	Previous ICR Reference No: 202303-3235-026
Agency/Subagency: SEC	Agency Tracking No: CF
Title: Securities Act Rule 477
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 04/13/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	05/31/2026
Responses	548	327
Time Burden (Hours)	548	327
Cost Burden (Dollars)	0	0

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Abstract: Rule 477 (17 CFR 230.477) governs the withdrawal of a Securities Act of 1933 (“Securities Act”) registration statement. The rule provides that a registrant must sign any application for withdrawal and must state fully in it the grounds on which the registrant makes the application. The rule further provides that the registrant must state in the application that no securities were sold in connection with the offering. The information collection requirements help to ensure that the Commission has sufficient information regarding a registrant’s application to withdraw a registration statement to determine whether to grant such application (based on whether such withdrawal is consistent with the public interest and the protection of investors).

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Authorizing Statute(s): US Code: 15 USC 77b(b), 77f, 77g, 77h, 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:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 3934	01/29/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 18946	04/13/2026
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
Securities Act Rule 477

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ICR Summary of Burden

table that charts list 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	548	327	0	0	221	0
Annual Time Burden (Hours)	548	327	0	0	221	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The increase in burden hours of 221 hours is due to an increase in the number of Rule 477 responses (from 327 responses to 548 responses).

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Annual Cost to Federal Government:

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: 04/13/2026

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