81 FR 53509 - Submission for OMB Review; Comment Request


Federal Register Volume 81, Issue 156 (August 12, 2016)

Page Range53509-53509
FR Document2016-19182

Federal Register, Volume 81 Issue 156 (Friday, August 12, 2016)
[Federal Register Volume 81, Number 156 (Friday, August 12, 2016)]
[Page 53509]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-19182]



[SEC File No. 270-72, OMB Control No. 3235-0076]

Submission for OMB Review; Comment Request

Upon Written Request Copies Available From: Securities and Exchange 
Commission, Office of FOIA Services, 100 F Street NE., Washington, DC 

    Form D and Regulation D.

    Notice is hereby given that, pursuant to the Paperwork Reduction 
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange 
Commission (``Commission'') has submitted to the Office of Management 
and Budget this request for extension of the previously approved 
collection of information discussed below.
    Form D (17 CFR 239.500) is a notice of sales filed by issuers 
making an offering of securities in reliance on an exemption under 
Regulation D (17 CFR 230.501 et seq.) or Section 4(a)(5) of the 
Securities Act of 1933 (15 U.S.C. 77d(a)(5)). Regulation D sets forth 
rules governing the limited offer and sale of securities without 
Securities Act registration. The purpose of Form D is to collect 
empirical data, which provides a continuing basis for action by the 
Commission either in terms of amending existing rules and regulations 
or proposing new ones. In addition, the Form D allows the Commission to 
elicit information necessary in assessing the effectiveness of 
Regulation D (17 CFR 230.501 et seq.) and Section 4(6) of the 
Securities Act of 1933 (15 U.S.C. 77d(6)) as capital-raising devices 
for all businesses. Form D information is required to obtain or retain 
benefits under Regulation D. Approximately 21,686 issuers file Form D 
and it takes approximately 4 hours per response. We estimate that 25% 
of the 4 hours per response (1 hour per response) is prepared by the 
issuer for an annual reporting burden of 21,686 hours (1 hour per 
response x 21,686 responses).
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information unless it displays a 
currently valid control number.
    The public may view the background documentation for this 
information collection at the following Web site, www.reginfo.gov . 
Comments should be directed to: (i) Desk Officer for the Securities and 
Exchange Commission, Office of Information and Regulatory Affairs, 
Office of Management and Budget, Room 10102, New Executive Office 
Building, Washington, DC 20503, or by sending an email to: 
[email protected]; and (ii) Pamela Dyson, Director/Chief 
Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 100 F Street NE., Washington, DC 20549 or send an email 
to: [email protected]. Comments must be submitted to OMB within 30 
days of this notice.

    Dated: August 5, 2016.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-19182 Filed 8-11-16; 8:45 am]

Current View
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
FR Citation81 FR 53509 

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