[Federal Register Volume 63, Number 110 (Tuesday, June 9, 1998)]
[Notices]
[Pages 31536-31537]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-15279]
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SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and
Exchange Commission, Office of Filings and Information Services,
Washington, DC 20549.
Extension:
Reg. 12B, SEC File No. 270-70, OMB Control No. 3235-0062
Reg. D, SEC File No. 270-72, OMB Control No. 3235-0076
Reg. A, SEC File No. 270-110, OMB Control No. 3235-0286
Form 12b-25, SEC File No. 270-71, OMB Control No. 3235-0058
Form 3, SEC File No. 270-125, OMB Control No. 3235-0104
Form 4, SEC File No. 270-126, OMB Control No. 3235-0287
Form 5, SEC File No. 270-323, OMB Control No. 3235-0362
Form 15, SEC File No. 270-170, OMB Control No. 3235-0167
Form S-4, SEC File No. 270-287, OMB Control No. 3235-0324
Form F-4, SEC File No. 270-288, OMB Control No. 3235-0325
Reg. S, SEC File No. 270-315, OMB Control No. 3235-0357
Rule 135d, SEC File No. 270-403, OMB Control No. 3235-046
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'') is soliciting comments on the collections of
information summarized below. The Commission plans to submit these
existing collections of information to the Office of Management and
Budget for extension and approval.
Regulation 12B governs all registration statements filed pursuant
to Sections 12(b) and 12(g) under the Securities Exchange Act of 1934
(``Exchange Act'') and all reports filed pursuant to Sections 13 and
15(d) of the Exchange Act, including amendments thereto. The
information is needed to provide guidance on how to prepare these
filings. Public companies are the likely respondents. Regulation 12B
does not directly impose any information collection burdens on
respondents and is assigned one burden hour for administrative
convenience.
Regulations A and D provide exemptions from the registration
requirements of the Securities Act of 1933 (``Securities Act'').
Regulation A provides a conditional small issues exemption and
Regulation D sets forth rules governing the limited offer and sale of
securities without Securities Act registration. Those relying on
Regulation A must file a Form 1-A and those relying on Regulation D
file a Form D. Issuers of securities are the likely respondents.
Approximately 186 respondents file Regulation A annually for a total
annual burden of 115,506 hours. Approximately 8,065 respondents file
Regulation D annually for a total annual burden of 137,680 hours.
Form 12b-25 is filed pursuant to the Exchange Act Rule 12b-25 by
issuers who are unable to timely file all or any required portion of an
annual, quarterly or transition report. Approximately 4,474 respondents
file Form 12b-25 annually for a total annual burden of 11,185 hours.
Exchange Act Forms 3, 4 and 5 are filed by insiders of public
companies that have a class of securities registered under Section 12
of the Exchange Act. Form 3 is an initial statement of beneficial
ownership of securities, Form 4 is a statement of changes in beneficial
ownership of securities and Form 5 is an annual statement of beneficial
ownership of securities.
Approximately 7,538 respondents file Form 3 annually for a total
annual burden of 3,769 hours. Approximately 62,704 respondents file
Form 5 annually for a total annual burden of 31,352 hours.
Approximately 37,075 respondents file Form 5 annually for a total
annual burden of 37,075 hours.
Form 15 is filed by public companies subject to the Exchange Act
reporting requirements to certify termination of registration of a
class of security under Section 12(g) or notice of suspension of duty
to file report pursuant to Sections 13 and 15(d) of the Exchange Act.
Approximately 1,644 respondents file Form 15 annually for a total
annual burden of 1,644 hours.
Forms S-4 and F-4 are filed by companies to register securities
issued in business combination and exchange transactions under the
Securities Act. Approximately 505 registrants file Form S-4 annually
for a total annual burden of 622,665 hours. Approximately 2 respondents
file Form F-4 annually for a total annual burden of 2,616 hours.
Regulation S is a set of rules governing offers and sales made
outside the United States without Securities Act registration. It does
not directly impose any information collection burdens and therefore is
assigned only one burden hour for administrative convenience.
Securities Act Rule 135(d) requires notices given by issuers that
they propose to make certain unregistered offerings to be filed with
the Commission. Approximately 30 respondents file such notices annually
for a total annual burden of 30 hours.
Written comments are invited on: (a) whether the proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
the burden of the collection of information; (c) ways to enhance the
quality, utility, and clarity of the information collected; and (d)
ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given
[[Page 31537]]
to comments and suggestions submitted in writing within 60 days of this
publication.
Please direct your written comments to Michael E. Bartell,
Associate Executive Director, Office of Information Technology,
Securities and Exchange Commission, 450 5th Street, N.W., Washington,
DC 20549.
Dated: June 1, 1998.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 98-15279 Filed 6-8-98; 8:45 am]
BILLING CODE 8010-01-M