Exchange Act Form 10-KSB

Forms and Documents

Document Name	Status
Form SEC 2337 Exchange Act Form 10-KSB Form and Instruction	Modified
Form 10-KSB -a revision SS.8760.doc Supporting Statement A	2007-01-25
Justification for Burden Changes Related to.doc Justification for No Material/Nonsubstantive Change	2006-09-18

IC Document Collections

IC ID	Document Title	Status
35070	Exchange Act Form 10-KSB Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0420	ICR Reference No: 200701-3235-039
Status: Historical Active	Previous ICR Reference No: 200609-3235-036
Agency/Subagency: SEC	Agency Tracking No: 270-368
Title: Exchange Act Form 10-KSB
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: 04/16/2007
	Date Received in OIRA: 01/29/2007
Terms of Clearance: The agency should be sure to enter the number of small entities respondents for each IC.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2009	36 Months From Approved	04/30/2009
Responses	3,504	0	3,504
Time Burden (Hours)	6,130,748	0	4,457,088
Cost Burden (Dollars)	817,433,163	0	594,278,000

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Abstract: Form 10-KSB is filed by small business issuers to satisfy their annual report obligations pursuant to Sections 13 and 15(d) of the Exchange Act.

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Authorizing Statute(s): US Code: 15 USC 78l, 78m, 78o, 78w 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-AJ64	Final or interim final rulemaking	71 FR 76581	12/21/2006

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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-KSB	SEC 2337	Form 10-KSB

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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	3,504	3,504	0	0	0	0
Annual Time Burden (Hours)	6,130,748	4,457,088	0	980	1,672,680	0
Annual Cost Burden (Dollars)	817,433,163	594,278,000	0	131,000	223,024,163	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: Table 3 below illustrates the changes in cost and hour burdens from the burden estimates currently approved by OMB. Columns (A) and (B) represent the total hour and cost burden estimates for the respective forms under the rules. Columns (C) and (D) represent the previous burden estimates most recently submitted to OMB. Columns (E) and (F) represent the change in burden from the previous estimates. Columns (G) and (H) represent the incremental hour and cost burden under the rules. Columns (I) and (J) represent the adjustment, which encompasses any change in burden that is not attributable to the rules. This submission uses the actual number of filings for fiscal year 2006. Please note that some discrepancies between the numbers in the supporting statement and the numbers submitted through ROCIS have been caused by the difference in methodology used in rounding numbers.

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Annual Cost to Federal Government: $37,000

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]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

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: 01/29/2007

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