Form 6-K - Exchange Act Rules 13a-16 and 15d-16

Forms and Documents

Document Name	Status
Form SEC-1815 Form 6-K - Exchange Act Rules 13a-16 and 15d-16 Form and Instruction	Modified
PRA Supporting Statement for Climate Disclosure.Final.pdf Supporting Statement A	2023-09-12
March 22, 2023 EDGAR PIA.pdf Supplementary Document	2023-09-09

IC Document Collections

IC ID	Document Title	Status
34381	Form 6-K - Exchange Act Rules 13a-16 and 15d-16 Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0116	ICR Reference No: 202309-3235-010
Status: Received in OIRA	Previous ICR Reference No: 202008-3235-011
Agency/Subagency: SEC	Agency Tracking No: CF 270-107
Title: Form 6-K - Exchange Act Rules 13a-16 and 15d-16
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 09/13/2023

	Requested	Previously Approved
Expiration Date	36 Months From Approved	11/30/2023
Responses	34,794	34,794
Time Burden (Hours)	1,088,183	227,031
Cost Burden (Dollars)	145,091,180	30,270,780

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Abstract: Form 6-K is a disclosure document under the Securities Exchange Act of 1934 that must be filed by a foreign private issuer to report material information promptly after the occurrence of specified or other important corporative events that are disclosed in the foreign private issuer's home country.

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Authorizing Statute(s): US Code: 15 USC 77g, 77j, 77s(a), 77z-3 Name of Law: Securities Act of 1933
   US Code: 15 USC 78c(b), 78l, 78m, 78o Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w(a), 78mm 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-AM87	Proposed rulemaking	87 FR 21334	04/11/2022

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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
Form 6-K - Exchange Act Rules 13a-16 and 15d-16	SEC-1815	Form 6-K

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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	34,794	34,794	0	0	0	0
Annual Time Burden (Hours)	1,088,183	227,031	0	861,152	0	0
Annual Cost Burden (Dollars)	145,091,180	30,270,780	0	114,820,400	0	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: If adopted, the proposed amendments would require enhanced and standardized climate-related disclosures for investors in a registrant’s registration statements and periodic reports, such as its report on Form 6-K, including information about a registrant’s material climate-related risks, governance of climate-related risks, greenhouse gas emissions, and financial statement metrics. The Commission estimates that the amendments would result in an increase in the paperwork burden of affected entities. For purposes of the PRA, the Commission estimates that, for Form 6-K, the proposed amendments would result in an increase of 861,152 internal burden hours and $114,820,400 for the services of outside professionals.

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Annual Cost to Federal Government: $129,168,390

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: 09/13/2023

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