Form 13F, Report of Institutional Investment Managers

Forms and Documents

Document Name	Status
Form SEC 1685 Form 13F, Report of Institutional Investment Managers Form	Modified
20250919_3235-0006_2025-18118_90 FR 45296_30-Day Submission Notice.pdf.pdf Supplementary Document	2025-09-19
Supporting Statement_Form 13F (2025).pdf Supporting Statement A	2025-09-15
20250715_3235-0006_2025-13243_90 FR 31738_60-Day Collection Notice.pdf.pdf Supplementary Document	2025-07-15

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: 202507-3235-005
Status: Received in OIRA	Previous ICR Reference No: 202210-3235-027
Agency/Subagency: SEC	Agency Tracking No: IM
Title: Form 13F, Report of Institutional Investment Managers
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 09/19/2025

	Requested	Previously Approved
Expiration Date	36 Months From Approved	12/31/2025
Responses	37,310	32,380
Time Burden (Hours)	74,620	101,339
Cost Burden (Dollars)	7,021,300	4,846,374

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Abstract: Form 13F (17 CFR 249.325) is a quarterly report filed publicly by institutional investment managers that exercise investment discretion over $100 million or more in certain U.S. exchange-traded equities. Section 13(f) of the Exchange Act of 1934 empowers the Commission to, among other things, adopt rules that create a reporting and disclosure system to collect specific information. The Commission then adopted rule 13f-1 under the 1934 Act (17 CFR 240.13f-1), which requires certain reporting by institutional investment managers on Form 13F.

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Authorizing Statute(s): US Code: 15 USC 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:
	90 FR 31738	07/15/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 45296	09/19/2025
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 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	37,310	32,380	0	0	4,930	0
Annual Time Burden (Hours)	74,620	101,339	0	0	-26,719	0
Annual Cost Burden (Dollars)	7,021,300	4,846,374	0	0	2,174,926	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 burden hours decreased from 101,339.29 to 74,620 hours (a decrease of 26,719.29 hours). The estimated cost burden of $7,021,300 has increased by $2,174,926 from the prior estimate of $4,846,374. The changes in burden reflect changes in the number of affected entities and in the external cost associated with the information collection requirements. These changes reflect revised estimates and burdens attributable to requirements under the rule and form.

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Annual Cost to Federal Government: $0

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: 09/19/2025

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