Form 13F, Report of Institutional Investment Managers pursuant to Section 13(f) of the Securities Exchange Act of 1934

Forms and Documents

Document Name	Status
Form SEC-1685 Form 13F, Report of Institutional Investment Managers Form	Modified
Form 13F Supporting Statement-FIN.pdf Supporting Statement A	2012-04-23
Form 13F Section 13(f) of the Exchange Act.rtf Supplementary Document	2006-09-18

IC Document Collections

IC ID	Document Title	Status
34026	Form 13F, Report of Institutional Investment Managers Form	Modified

ICR Details

OMB Control No: 3235-0006	ICR Reference No: 201203-3235-007
Status: Historical Active	Previous ICR Reference No: 200904-3235-003
Agency/Subagency: SEC	Agency Tracking No: IM-270-22
Title: Form 13F, Report of Institutional Investment Managers pursuant to Section 13(f) of the Securities Exchange Act of 1934
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: 07/06/2012
	Date Received in OIRA: 04/23/2012
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2015	36 Months From Approved	08/31/2012
Responses	17,828	0	17,048
Time Burden (Hours)	424,143	0	401,178
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 13f-1 report of institutional investment managers with respect to certain equity securities that trade publicly on U.S. markets over which they exercise investment discretion.

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Authorizing Statute(s): US Code: 15 USC Ch. 28, sec. 78m Name of Law: Securities Exchange Act of 1934
  

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:
	77 FR 8302	02/14/2012
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 23520	04/19/2012
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 13F, Report of Institutional Investment Managers	SEC-1685	Form 13F

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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	17,828	17,048	0	0	780	0
Annual Time Burden (Hours)	424,143	401,178	0	0	22,965	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 estimated total annual time burden increased by 22,963 hours, from 401,178 to 424,141 hours. The increase is due to an increase of the total number of annual submissions from 17,048 to 17,828. This increase is primarily explained by the increase in the number of respondents.

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Annual Cost to Federal Government:

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]? No

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: 04/23/2012

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