8011-01p
SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-613, OMB Control No. 3235-0712]
Submission for OMB Review; Comment Request; Extension: Credit Risk Retention –
Regulation RR
Upon Written Request Copies Available From:
Securities and Exchange Commission
Office of FOIA Services
100 F Street, NE
Washington, DC 20549-2736
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.
Credit Risk Retention (“Regulation RR”) (17 CFR 246.1 through 246.22) recordkeeping
and disclosure requirements implement Section 15G of the Securities Exchange Act of 1934 (15
U.S.C. 78o-11) Section 15G clarifies the scope and application of Section 306(a) of the
Sarbanes-Oxley Act of 2002 (15 U.S.C. 7244(a)). Section 306(a) of the Sarbanes-Oxley Act
requires, among other things, an issuer to provide timely notice to its directors and executive
officers and to the Commission of the imposition of a blackout period that would trigger a
trading prohibition under Section 306(a)(1) of the Sarbanes-Oxley Act. Section 306(a)(1)
prohibits any director or executive officer of an issuer of any equity security, from directly or
indirectly, purchasing, selling, or otherwise acquiring or transferring any equity security of that
issuer during the blackout period with respect to such equity security if the director or executive
officer acquired the equity security in connection with his or her service or employment.
Approximately 1,647 issuers file using Regulation RR responses and it takes approximately

14.389 hours per response. We estimate that 75% of the 14.389 hours per response (10.792 per
response hours) is prepared by the registrant for a total annual reporting burden of 17,774 hours
(10.792 hours per response x 1,647 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 background documentation for this information collection at the
following website: www.reginfo.gov. Find this particular information collection by selecting
“Currently under 30-day Review - Open for Public Comments” or by using the search function.
Written comments and recommendations for the proposed information collection should be sent
within 30 days of publication of this notice by [INSERT DATE 30 DAYS AFTER DATE OF
PUBLICATION IN THE FEDERAL REGISTER] to (i) www.reginfo.gov/public/do/PRAMain
and (ii) David Bottom, Director/Chief Information Officer, Securities and Exchange
Commission, c/o John Pezzullo, 100 F Street, NE, Washington, DC 20549, or by sending an
email to: PRA_Mailbox@sec.gov.
Dated: June 21, 2024.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2024-14082 Filed: 6/26/2024 8:45 am; Publication Date: 6/27/2024]