SEC Seeks Comments on Exempt Preliminary Roll-Up Communication Collection

Regs.gov: Securities and Exchange Commission

Published March 17th, 2026

Detected March 21st, 2026

Summary

The SEC has submitted a request to the Office of Management and Budget for an extension of a previously approved collection of information regarding exempt preliminary roll-up communications. This notice seeks public comment on the information collection request, which is associated with Rule 14a-6(n).

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The Securities and Exchange Commission (SEC) has submitted a request to the Office of Management and Budget (OMB) for an extension of the approval for the collection of information under Rule 14a-6(n), which pertains to the filing of a Notice of Exempt Preliminary Roll-Up Communication. This notice is required for persons engaging in specific proxy solicitations and provides information on ownership interests and potential conflicts of interest. The SEC estimates the notice takes 0.25 hours per response and is filed annually by approximately six respondents, resulting in a total annual burden of 2 hours with no associated cost burden.

This is a routine request for OMB approval of an existing information collection, not a proposed rule change. The public is invited to comment on this information collection request via the provided RegInfo.gov link or email address. The comment period closes on April 20, 2026. While this is a notice regarding an information collection, it does not impose new compliance obligations or deadlines on regulated entities beyond the existing requirements of Rule 14a-6(n).

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Content

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.

Rule 14a-6(n) (17 CFR 240.14a-6(n)) requires any person that engages in a proxy solicitation subject to Exchange Act Rule
14a-2(b)(4) (17 CFR 240.14a-2(b)(4)) to file a Notice of Exempt Preliminary Roll-Up Communication (“Notice”) (17 CFR 240.14a-104)
with the Commission. The Notice provides information regarding ownership interest and any potential conflicts of interest
to be included in statements submitted by or on behalf of a person engaging in the solicitation. The information collected
is mandatory and is made publicly available on the Commission's Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”)
system. We estimate that the Notice takes approximately 0.25 hours per response and is filed once per year by approximately
6 respondents. We estimate that 100% of the burden is carried out internally by the filer. Based on our estimates, we calculate
a total annual reporting burden of 2 hours ((0.25 hours per response × 100%) × 6 responses per year), when rounded to the
nearest dollar. Because we estimate that 100% of the burden will be carried internally by the filer, we estimate that there
is no cost burden associated with the Notice.

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 OMB Control Number.

The public may view and comment on this information collection request at: https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202512-3235-024 or send an email comment to MBX.OMB.OIRA.SECdeskofficer@omb.eop.gov within 30 days of the day after publication of this notice by April 20, 2026.

Dated: March 17, 2026. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2026-05449 Filed 3-19-26; 8:45 am] BILLING CODE 8011-01-P