Form S-6, 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 239.19], for registration under the Securities Act of 1933 of Unit Investment Trusts registered on Form N-8B-2 Form and Instruction	Modified
Form S-6 (P-Cyber) Supporting Statement.pdf Supporting Statement A	2022-03-22

IC Document Collections

IC ID	Document Title	Status
34529	Form S-6 [17 CFR 239.19], 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: 202203-3235-017
Status: Received in OIRA	Previous ICR Reference No: 202004-3235-003
Agency/Subagency: SEC	Agency Tracking No: IM-270-181
Title: Form S-6, for registration under the Securities Act of 1933 of Unit Investment Trusts registered on Form N-8B-2
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 03/24/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved	07/31/2023
Responses	1,047	2,498
Time Burden (Hours)	123,064	107,359
Cost Burden (Dollars)	68,628,268	68,108,956

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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:
3235-AN08	Proposed rulemaking	87 FR 13524	03/09/2022

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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-6 [17 CFR 239.19], 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 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	1,047	2,498	0	-1,451	0	0
Annual Time Burden (Hours)	123,064	107,359	0	15,705	0	0
Annual Cost Burden (Dollars)	68,628,268	68,108,956	0	519,312	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The estimated annual burden hours associated with Form S-6 has increased from 107,359 hours to 123,064 hours (an increase of 15,705 hours). In addition, the external cost burden associated with Form S-6 has increased from $68,108,956 to $68,628,268 (an increase of $519,312). The changes in annual burden hours and external cost burden are due to our proposed amendments affecting Form S-6 requiring a description of any significant fund cybersecurity incident that has occurred in the fund’s last two fiscal years.

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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.     No

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: 03/24/2022

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