Form S-6 [17 CFR 239.16], for registration under the Securities Act of 1933 of Unit Investment Trusts registered on Form N-8B-2

Forms and Documents

Document Name	Status
Form SEC-649 Form S-6 [17 CFR 239.16], for registration under the Securities Act of 1933 of Unit Investment Trusts registered on Form N-8B-2 Form and Instruction	Modified
Supporting Statement (2010-5-3).doc Supporting Statement A	2010-07-09
Form S-6 Statutes.doc Supplementary Document	2007-09-06

IC Document Collections

IC ID	Document Title	Status
34529	Form S-6 [17 CFR 239.16], for registration under the Securities Act of 1933 of Unit Investment Trusts registered on Form N-8B-2 Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0184	ICR Reference No: 201007-3235-015
Status: Historical Active	Previous ICR Reference No: 200707-3235-003
Agency/Subagency: SEC	Agency Tracking No: IM-270-181
Title: Form S-6 [17 CFR 239.16], for registration under the Securities Act of 1933 of Unit Investment Trusts registered on Form N-8B-2
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 10/06/2010
	Date Received in OIRA: 08/18/2010
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2013	36 Months From Approved	01/31/2011
Responses	2,054	0	1,353
Time Burden (Hours)	71,890	0	47,355
Cost Burden (Dollars)	54,075,800	0	29,040,000

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Abstract: Form S-6 is used for registration under the Securities Act of 1933 the securities of any unit investment trusts registered under the Investment Company Act of 1940 on Form N-8B-2.

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Authorizing Statute(s): US Code: 15 USC 77e 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:
	75 FR 32823	06/09/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 51120	08/18/2010
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 S-6 [17 CFR 239.16], for registration under the Securities Act of 1933 of Unit Investment Trusts registered on Form N-8B-2	SEC-649	Form S-6

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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	2,054	1,353	0	0	701	0
Annual Time Burden (Hours)	71,890	47,355	0	0	24,535	0
Annual Cost Burden (Dollars)	54,075,800	29,040,000	0	0	25,035,800	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: Currently, the approved annual hour burden for preparing and filing reports on Form S-6 is 47,355 hours based upon the previous estimate of 1,353 responses. The new estimate of the total annual hour burden is 71,890 hours based upon the new estimated total number of 2,054 responses. Therefore, there has been an increase in the total annual hour burden for Form S 6 filings of 24,535 hours. The total approved annual cost burden to respondents for outside professionals associated with the collection of data relating to Form S 6 increased from $29,040,000 to $54,075,800, a net increase of $25,035,800. The increase in the burden hours and cost estimates can be attributed to an increase in the number of estimated annual responses to Form S-6, and with regard to cost estimates, an increase due to adjustments for inflation.

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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]? No

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)? No

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: 08/18/2010

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