EDGAR Filer Management Dashboard

Forms and Documents

Document Name	Status
SUPPORTING STATEMENT.Final.Draft.LF12-23-2024.pdf Supporting Statement A	2024-12-27
sec-33_sec_general_information_technology_records.pdf Supplementary Document	2024-12-23
March 22, 2023 EDGAR PIA.pdf Supplementary Document	2024-11-22

IC Document Collections

IC ID	Document Title	Status
263400	EDGAR Filer Management Dashboard	Modified

ICR Details

OMB Control No: 3235-0813	ICR Reference No: 202411-3235-011
Status: Received in OIRA	Previous ICR Reference No: 202311-3235-021
Agency/Subagency: SEC	Agency Tracking No:
Title: EDGAR Filer Management Dashboard
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 12/27/2024

	Requested	Previously Approved
Expiration Date	36 Months From Approved
Responses	208,000	0
Time Burden (Hours)	270,400	0
Cost Burden (Dollars)	0	0

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Abstract: The EDGAR Filer Management Dashboard is an interactive function on EDGAR where electronic filers manage their EDGAR accounts and individuals that electronic filers authorize may take relevant actions for the electronic filers’ accounts.

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Authorizing Statute(s): US Code: 15 USC 78w, 78ll Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 80a-8, 80a-29, 80a-30, 80a-37 Name of Law: Investment Company Act of 1940
   US Code: 15 USC 77sss Name of Law: Trust Indenture Act of 1939
   US Code: 15 USC 77f, 77g, 77h, 77j, 77s(a) Name of Law: Securities Act of 1933
   US Code: 15 USC 78c, 78l, 78m, 78n, 78o, 78o-4 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-AM58	Final or interim final rulemaking	89 FR 106168	12/27/2024

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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
EDGAR Filer Management Dashboard

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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	208,000	0	0	208,000	0	0
Annual Time Burden (Hours)	270,400	0	0	270,400	0	0
Annual Cost Burden (Dollars)	0	0	0	0	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: The final rule and form amendments will newly require that each filer comply with certain account access and management requirements by taking actions on the dashboard. The implementation of the dashboard is designed to harness the benefits of improved technology and to modernize the EDGAR access and management functions. For purposes of the PRA, we estimate that the final amendments will newly require each filer to spend approximately one hour in the first year setting up the dashboard, and additionally, on average, approximately one hour per annum managing the filer’s account on the dashboard. Consequently, the anticipated aggregate average annual burden attributed to the dashboard for all filers will be approximately 270,400 burden hours, based on a three-year average burden of 1.3 hours per filer, and no additional cost burden.

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Annual Cost to Federal Government: $0

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.     Yes

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: 12/27/2024

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