Exchange Act Form 10

Forms and Documents

Document Name	Status
Form SEC 1396 Exchange Act Form 10 Form and Instruction	Modified
Guide 3.SupportingStatement.Final.pdf Supporting Statement A	2022-08-09
February 5, 2020 EDGAR PIA.pdf Supplementary Document	2022-08-09

IC Document Collections

IC ID	Document Title	Status
34221	Exchange Act Form 10 Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0064	ICR Reference No: 202208-3235-008
Status: Received in OIRA	Previous ICR Reference No: 202205-3235-027
Agency/Subagency: SEC	Agency Tracking No: CF 270-051
Title: Exchange Act Form 10
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 08/11/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved	10/31/2022
Responses	216	216
Time Burden (Hours)	11,640	11,639
Cost Burden (Dollars)	13,833,488	13,832,288

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Abstract: Form 10 is filed by issuers of securities to register a class of securities pursuant to Sections 12(b) and 12(g) of the Securities Exchange Act of 1934.

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Authorizing Statute(s): US Code: 15 USC 77c(b), 77g, 77j, 77s(a) Name of Law: Securities Act of 1933
   US Code: 15 USC 77z-3 Name of Law: Securities Act of 1933
   US Code: 15 USC 78c(b) 78l, 78m, 78o(d) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w(a), 78mm 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:
3235-AL79	Final or interim final rulemaking	85 FR 66108	10/16/2020

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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
Exchange Act Form 10	SEC 1396	Form 10 - General Form For Registration Of Securities

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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	216	216	0	0	0	0
Annual Time Burden (Hours)	11,640	11,639	0	1	0	0
Annual Cost Burden (Dollars)	13,833,488	13,832,288	0	1,200	0	0

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

Burden Increase Due to: Changing Regulations

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

Burden Reduction Due to:

Short Statement: The rules revise the statistical disclosures for banking registrants by updating and codifying certain Guide 3 disclosures and eliminate other Guide 3 disclosures that overlap with Commission rules, U.S. Generally Accepted Accounting Principles, or International Financial Reporting Standards. In addition, the rules relocate the codified disclosures to a new subpart of Regulation S-K and rescind Guide 3. The Commission anticipates the rules will result in a small increase in the required disclosure and the related burdens and costs for these registrants to prepare and review the collections of information. For purposes of the Paperwork Reduction Act, we estimate that the rules will result in a net increase of one burden hour and a net increase in the cost burden of $1,200 for the services of outside professionals on Form 10.

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Annual Cost to Federal Government: $125,800,170

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.     Yes

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: 08/11/2022

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