Exchange Act Form 8-K

Forms and Documents

Document Name	Status
Form SEC 873 Exchange Act Form 8-K Form and Instruction	Modified
PRA Supporting Statement Adopting Final 9-26-2011.pdf Supporting Statement A	2011-09-28

IC Document Collections

IC ID	Document Title	Status
34191	Exchange Act Form 8-K Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0060	ICR Reference No: 201109-3235-008
Status: Historical Active	Previous ICR Reference No: 201102-3235-031
Agency/Subagency: SEC	Agency Tracking No: CF 270-50
Title: Exchange Act Form 8-K
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: 12/06/2011
	Date Received in OIRA: 09/30/2011
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2014	36 Months From Approved	03/31/2014
Responses	117,987	0	116,860
Time Burden (Hours)	507,065	0	502,839
Cost Burden (Dollars)	67,608,700	0	67,045,200

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Abstract: Form 8-K is filed by issuers to satisfy their current reporting obligations pursuant to Sections 13 and 15(d) of the Exchange Act in connection with the occurrence of significant corporate events.

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Authorizing Statute(s): US Code: 15 USC 78c(b), 78l, 78m, 78o, 78w(a) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78mm Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 942 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK89	Final or interim final rulemaking	76 FR 52549	08/23/2011

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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 8-K	SEC 873	Form 8-K

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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	117,987	116,860	1,127	0	0	0
Annual Time Burden (Hours)	507,065	502,839	4,226	0	0	0
Annual Cost Burden (Dollars)	67,608,700	67,045,200	563,500	0	0	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: Section 942(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act eliminated the automatic suspension of the duty to file under Section 15(d) of the Securities Exchange Act of 1934 for asset-backed securities ("ABS") issuers and granted the Commission the authority to issue rules providing for the suspension or termination of such duty. Securities Exchange Act Release No. 34-65148 adopted amendments to the rules to permit suspension of the reporting obligations for ABS issuers when there are no ABS of the class sold in a registered transaction held by non-affiliates of the depositor and to amend rules relating to the Exchange Act reporting obligations of ABS issuers in light of statutory changes from Section 942(a) of the Act. We estimate the effect of the statute will result in an increase of 4,226 burden hours and an increase in the cost burden of $563,500. The amendments will not affect these estimates over the next three years.

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Annual Cost to Federal Government: $50,000

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]? No

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

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: 09/30/2011

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