Form S-1 Registration Statement

Forms and Documents

Document Name	Status
Form SEC 870 Form S-1 Registration Statement Form and Instruction	Modified
Supporting Statement.SecurityRatings.pdf Supporting Statement A	2011-08-12

IC Document Collections

IC ID	Document Title	Status
34231	Form S-1 Registration Statement Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0065	ICR Reference No: 201108-3235-004
Status: Historical Active	Previous ICR Reference No: 201104-3235-003
Agency/Subagency: SEC	Agency Tracking No: CF-270-58
Title: Form S-1 Registration Statement
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: 10/27/2011
	Date Received in OIRA: 08/12/2011
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2014	36 Months From Approved	06/30/2014
Responses	764	0	768
Time Burden (Hours)	185,715	0	186,687
Cost Burden (Dollars)	222,857,208	0	224,024,000

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Abstract: Form S-1 under the Securities Act is used by domestic issuers who are not eligible to use other forms to register offering of their securities.

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Authorizing Statute(s): US Code: 15 USC 77f, 77g, 77j, 77s(a) Name of Law: Securities Act of 1933
   US Code: 15 USC 78n, 78w(a) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 939A Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK18	Final or interim final rulemaking	76 FR 46603	08/03/2011

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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 S-1 Registration Statement	SEC 870	Form S-1

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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	764	768	-4	0	0	0
Annual Time Burden (Hours)	185,715	186,687	-972	0	0	0
Annual Cost Burden (Dollars)	222,857,208	224,024,000	-1,166,792	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 amendments in Release No. 33-9245 remove references to credit ratings and replace them with alternate criteria. The decrease in the time burden associated with Form S-1 is the result of an estimate that certain issuers currently eligible to use Form S-1 will become eligible to use Form S-3 and would instead file using Form S-3. As a result, the number of respondents on Form S-1 is expected to decrease. We estimate that the amendments would result in an annual time burden decrease of 972 hours and a decrease in the cost burden of $1,166,792 for services of outside professionals.

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Annual Cost to Federal Government: $50,000

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]? Yes

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: 08/12/2011

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