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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 202301-3235-024 · OMB 3235-0467 · Received in OIRA

Forms and Documents
DocumentTypeStatusAvailability
3235-0467.pdf Supplementary Document Uploaded 2023-04-06 Repair queued
3235-0467.pdf Supplementary Document Uploaded 2023-04-06 Repair queued
DGL REVISED 2023 Rule 102 Supporting Statement.pdf Supporting Statement A Uploaded 2023-01-27 Repair queued
3235-0467 30 Day Notice.pdf Supplementary Document Uploaded 2020-04-20 Missing upstream
3235-0467 60 Day Notice.pdf Supplementary Document Uploaded 2020-04-20 Repair queued
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 202301-3235-024
Active 201911-3235-012
SEC TM-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 06/09/2023
Retrieve Notice of Action (NOA) 04/06/2023
  Inventory as of this Action Requested Previously Approved
06/30/2026 36 Months From Approved 06/30/2023
1,361 0 955
2,261 0 1,855
0 0 0
Rule 102 restricts certain activities of issuers and their affiliated purchasers during a distribution period.
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
   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
  
None
Not associated with rulemaking
  88 FR 7486 02/03/2023
88 FR 20586 04/06/2023
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 1,361 955 0 0 406 0
Annual Time Burden (Hours) 2,261 1,855 0 0 406 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The increase in estimated total burden hours from 1,855 to 2,261 is the result of an increase in the number of firm commitment offerings from 805 previously to 1,211 in 2021 (which, in turn, increased the total number of respondents from 955 previously to 1,361 in 2021).
$0
No
    No
    No
No
No
No
No
Roland Lindmayer 202 551-2250
  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.
04/06/2023