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Federal forms, ICRs, and supporting documents

Information Collection Request

Rule 102, 17 CFR 242.102 (Activities by Issuers or Selling Securityholders During a Distribution)

ICR 200804-3235-010 · OMB 3235-0467 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
Rule 102 - Justification Memo - 2008 Update.doc Supporting Statement A Uploaded 2008-05-07 Available
IC Document Collections
IC IDCollectionTypeStatusForm
35170 Rule 102, 17 CFR 242.102 (Activities by Issuers or Selling Securityholders During a Distribution) Modified
ICR Details
3235-0467 200804-3235-010
Historical Active 200506-3235-009
SEC 270-409
Rule 102, 17 CFR 242.102 (Activities by Issuers or Selling Securityholders During a Distribution)
Extension without change of a currently approved collection   No
Regular
Approved without change 08/05/2008
Retrieve Notice of Action (NOA) 05/07/2008
  Inventory as of this Action Requested Previously Approved
08/31/2011 36 Months From Approved 08/31/2008
945 0 669
1,890 0 1,569
0 0 0
Rule 102 restricts certain activities of issuers and their affiliated purchasers during a distribution period.
US Code: 15 USC 78o(g), 78q(a), 78q(b), 78q(h) Name of Law: Sections 15(g), 17(a), 17(b), 17(h) of the Securities Exchange Act of 1934
   US Code: 15 USC 78w(a), 78dd-1, 78mm Name of Law: Sections 23(a), 30A, and 36 of the Securities Exchange Act of 1934
   US Code: 15 USC 77g, 77q(a), 77s(a) Name of Law: Sections 7, 17(a), and 19(a) of the Securities Act of 1933
   US Code: 15 USC 78b, 78c, 78g(c)(2), 78i(a) Name of Law: Sections 2, 3, 7(c)(2), 9(a) of the Securities Exchange Act of 1934
   US Code: 15 USC 78j, 78k-1(c), 78l Name of Law: Sections 10, 11A(c), 12 of the Securities Exchange Act of 1934
   US Code: 15 USC 78m, 78n, 78o(b), 78o(c) Name of Law: Sections 13, 14, 15(b), 15(c) of the Securities Exchange Act of 1934
   US Code: 15 USC 80a-23, 80a-29, 80a-37 Name of Law: Sections 23, 29, and 37 of the Investment Company Act of 1940
  
None
Not associated with rulemaking
  73 FR 10502 02/27/2008
73 FR 25786 05/07/2008
No
1
IC Title Form No. Form Name
Rule 102, 17 CFR 242.102 (Activities by Issuers or Selling Securityholders During a Distribution)
  Total Approved 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 945 669 0 0 276 0
Annual Time Burden (Hours) 1,890 1,569 0 0 321 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
Bradley Gude 2025515590
  No
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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
05/07/2008