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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 202603-3235-018 · OMB 3235-0467 · Received in OIRA

Forms and Documents
DocumentTypeStatusAvailability
3235-0467_30-Day Submission Notice.pdf.pdf Supplementary Document Uploaded 2026-06-01 Available
3235-0467_60-Day Collection Notice.pdf Supplementary Document Uploaded 2026-03-25 Available
2026 Rule 102 Supporting Statement.pdf Supporting Statement A Uploaded 2026-03-20 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 202603-3235-018
Received in OIRA 202301-3235-024
SEC TM
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 06/01/2026
  Requested Previously Approved
36 Months From Approved 06/30/2026
1,194 1,361
2,094 2,261
0 0
Rules 101 and 102 of Regulation M regulate bids for and purchases of offered securities and certain other covered securities. While Rule 101 covers underwriters, broker-dealers, selling group members, and their affiliated purchasers, Rule 102 covers issuers, selling security holders, and their affiliated purchasers. Rules 101 and 102 apply only during a “restricted period” that commences either one or five business days (depending on the average daily trading volume of the offered security) prior to the determination of the offering price and continues until such person’s completion of participation in the distribution. Rule 102 includes a limited exception for certain actively-traded reference securities.
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 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 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
  91 FR 14601 03/25/2026
91 FR 32483 06/01/2026
No
1
IC Title Form No. Form Name
Rule 102, 17 CFR 242.102 (Activities by Issuers or Selling Securityholders During a Distribution)
  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 1,194 1,361 0 0 -167 0
Annual Time Burden (Hours) 2,094 2,261 0 0 -167 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The decrease in total burden hours is the result of a decrease in the total number of respondents from 1,361 previously to 1,194 in 2025.
$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.
06/01/2026