Form SF-3

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC 2909 Form SF-3	Form and Instruction	Modified	Available
3235-0690_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-08-18	Available
3235-0690_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2026-06-08	Available
Form SF-3 Supporting Statement.Final.pdf	Supporting Statement A	Uploaded 2026-06-02	Available
March 6, 2025.EDGAR PIA.pdf	Supplementary Document	Uploaded 2026-05-29	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
198978	Form SF-3	Form and Instruction	Modified	Form SF-3

ICR Details

OMB Control No: 3235-0690	ICR Reference No: 202604-3235-020
Status: Received in OIRA	Previous ICR Reference No: 202308-3235-012
Agency/Subagency: SEC	Agency Tracking No: CF
Title: Form SF-3
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: 08/18/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	10/31/2026
Responses	19	71
Time Burden (Hours)	6,557	24,504
Cost Burden (Dollars)	11,803,332	29,404,425

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Abstract: The Securities Act of 1933 (“Securities Act”) was designed to prevent misrepresentation, deceit, and other fraudulent acts and practices in the sale of securities. Section 5 of the Securities Act requires that a registration statement be filed before any security is publicly offered, and that the registration statement be effective before any security is sold. Section 7 and Schedule A of the Securities Act outline the information that must be contained in a registration statement. Section 7 gives the Securities and Exchange Commission (the “Commission”) the authority to vary such disclosure for various classes of issuers and securities. The Commission has used its statutory authority to develop a number of specialized registration statement forms that tailor disclosure requirements based on the type of offering, issuer, or other parameters, thereby eliminating burdensome and unnecessary requirements while maintaining investor protection. Form SF-3 (17 CFR 239.45) is the form used to register a shelf offering of asset-backed securities (“ABS”). The Commission requires ABS issuers to use Form SF-3 for shelf offerings—rather than Form S-3 (17 CFR 239.13)—because the process, criteria, and disclosure for shelf offerings of ABS differs from other types of securities offerings.

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Authorizing Statute(s): US Code: 15 USC 77e, 77f, 77g, 77h Name of Law: Securities Act of 1933
   US Code: 15 USC 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:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 34696	06/08/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 53435	08/18/2026
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
Form SF-3	SEC 2909	Form SF-3

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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	19	71	0	0	-52	0
Annual Time Burden (Hours)	6,557	24,504	0	0	-17,947	0
Annual Cost Burden (Dollars)	11,803,332	29,404,425	0	0	-17,601,093	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 decrease in the estimated total annual burden hours of 17,945 hours and the decrease in the estimated total annual cost burden of $17,601,093 are due to a decrease in the number of annual Form SF-3 responses (from 71 responses to 19 responses). The decrease in the estimated total annual cost burden is partially offset by an increase in the Commission’s estimate for the hourly cost of outside professionals (from $400 per hour to $600 per hour).

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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: 08/18/2026

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