Rule 404: Books and Records to Be Made and Maintained by Funding Portals

Crowdfunding Rules 400-404 (Funding Portals)

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0727 can be found here:

Documents and Forms

Document Name Document Type

no available documents/forms check other ICs listed under this ICR

Information Collection (IC) Details

IC Title:	Rule 404: Books and Records to Be Made and Maintained by Funding Portals	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Unchanged

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 227.404

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title: SEC-1	FR Citation: 41 FR 41550

Number of Respondents: 150	Number of Respondents for Small Entity: 90

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Approved	Program Change Due to New Statute
Annual Number of Responses for this IC	150	150
Annual IC Time Burden (Hours)	32,500	32,500
Annual IC Cost Burden (Dollars)	535,000	535,000

Documents for IC

Title	Document	Date Uploaded
No associated records found

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.