Form D is a notice of sales filed by issuers of securities under Regulation D.

Forms and Documents

Document Name	Status
Form SEC 1972 Form D is a notice of sales filed by issuers of securities under Regulation D. Form and Instruction	Modified
SUPPORTING STATEMENT FOR REGULATION D.09.Ext.doc Supporting Statement A	2009-04-09

IC Document Collections

IC ID	Document Title	Status
34297	Form D is a notice of sales filed by issuers of securities under Regulation D. Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0076	ICR Reference No: 200904-3235-005
Status: Historical Active	Previous ICR Reference No: 200503-3235-003
Agency/Subagency: SEC	Agency Tracking No: CF-270-72
Title: Form D is a notice of sales filed by issuers of securities under Regulation D.
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: 06/16/2009
	Date Received in OIRA: 04/09/2009
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2012	36 Months From Approved	06/30/2009
Responses	25,000	0	17,500
Time Burden (Hours)	25,000	0	17,500
Cost Burden (Dollars)	30,000,000	0	15,750,000

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Abstract: Form D is a notice of sales filed by issuers making an offering of securities in reliance on an exemption under Regulation D or Section 4(6) of the Securities Act of 1933.

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Authorizing Statute(s): US Code: 15 USC 77a, 77c(b), 77d(2), 77r Name of Law: Securities Act of 1933
   US Code: 15 USC 77s 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:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 5950	02/03/2009
30-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 15009	04/02/2009
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 D is a notice of sales filed by issuers of securities under Regulation D.	SEC 1972	Form D - Notice of Exempt Offering of Securities

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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	25,000	17,500	0	0	7,500	0
Annual Time Burden (Hours)	25,000	17,500	0	0	7,500	0
Annual Cost Burden (Dollars)	30,000,000	15,750,000	0	0	14,250,000	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 increase burden hours and the increase in cost burden are due to two agency adjustments. First, the burden hour increased by 7,500 burden hours as a result of an increase in the number of responses filed from 17,500 to 25,000. Second, the cost burden increased by $14,250,000 is due to the Commission increasing its cost estimate from $300 per hour to $400 per hour for outside counselors.

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Annual Cost to Federal Government: $0

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)? 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: 04/09/2009

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