Form & Content of & Requirements for Financial Statements; Securi Securities Exchange Act of 1933; Securities Exchange Act of 1934; Public Utility Holding Company Act of 1935; Investment Company

Forms and Documents

Document Name	Status

No forms / supporting documents in this ICR. Check IC Document Collections.

IC Document Collections

IC ID	Document Title	Status
34033	Form & Content of & Requirements for Financial Statements; Securi Securities Exchange Act of 1933; Securities Exchange Act of 1934; Public Utility Holding Company Act of 1935; Investment Company Form	Migrated

ICR Details

OMB Control No: 3235-0009	ICR Reference No: 199904-3235-017
Status: Historical Active	Previous ICR Reference No: 199903-3235-001
Agency/Subagency: SEC	Agency Tracking No:
Title: Form & Content of & Requirements for Financial Statements; Securi Securities Exchange Act of 1933; Securities Exchange Act of 1934; Public Utility Holding Company Act of 1935; Investment Company
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 07/14/1999
	Date Received in OIRA: 04/02/1999
Terms of Clearance: The changes in information collection requirements of this proposed rule are approved. However, the accompanying change worksheets (Form 83-C) for Form 10-K (3235-0063), Form S-1 (3235-0065), Form 10-Q (3235-0070), Form F-1 (3235-0258), Form S-4 (3235-0324) and Form F-4 (3235-0325) are not accepted at this time. The agency provided insufficient explanation and justification for the significant decreases in burden requested. The agency may resubmit these 83-C requests with explanations for the changes in burden at the time of final rulemaking.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2002	07/31/2002	06/30/2002
Responses	1	0	1
Time Burden (Hours)	1	0	1
Cost Burden (Dollars)	0	0	0

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Abstract: Regulation S-X sets forth requirements regarding the presentation of financial information. It provides a basis for ensuring that adequate information regarding a company and its offering of securities is publicly available.

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:

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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
Form & Content of & Requirements for Financial Statements; Securi Securities Exchange Act of 1933; Securities Exchange Act of 1934; Public Utility Holding Company Act of 1935; Investment Company	SEC-1887

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ICR Summary of Burden

	Total Approved	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	1	1	0	0	0	0
Annual Time Burden (Hours)	1	1	0	0	0	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:

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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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: 04/02/1999

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