Fast Track Request for OASB SBF 2025

OASB Draft 2.25.25

Request for Approval under the “Generic Clearance for Feedback to the SEC’s
Office of the Advocate for Small Business Capital Formation” (OMB Control
Number: 3235-0787)
TITLE OF INFORMATION COLLECTION: U.S. Securities and Exchange Commission
Registration& Feedback Questions
PURPOSE: The U.S. Securities and Exchange Commission (SEC)’s Office of the Advocate for
Small Business Capital Formation (Office) is seeking to collect responses and feedback from
individuals who register for, and attendees of, an event (Event). The Event will be organized by
the Office and hosted by the SEC and is scheduled for April 10, 2025 (although registration is
expected to begin as early as March 1, 2025). The responses and feedback collected will help the
Office understand better the audience attending the Event and their role in the small business
ecosystem and help guide discussions at the Event so that discussions address issues relevant to
the audience. Collecting the responses and feedback will help the Office ensure that future
outreach efforts and communication materials and other program initiatives are effective and
responsive to customer and stakeholder needs. The SEC may discuss general takeaways from the
responses in external reports, to the extent they provide helpful context for such external reports.
DESCRIPTION OF RESPONDENTS: Individuals who register for, and attendees of, the
Event will provide responses to registration and feedback questions. These attendees include
government officials, entrepreneurs, investors, private businesses, and/or law firms attending on
their behalf, and anyone from the public interested in attending.
TYPE OF COLLECTION: (Check one)
[ ] Customer Comment Card/Complaint Form
[ ] Usability Testing (e.g., Website or Software)
[ ] Focus Group

[ ] Customer Satisfaction Questionnaire
[ ] Small Discussion Group
[X] Other: Registration & Feedback
Questions

CERTIFICATION:
I certify the following to be true:
1. The collection is voluntary.
2. The collection is low-burden for respondents and low-cost for the Federal Government.
3. The collection is non-controversial and does not raise issues of concern to other federal
agencies.
4. Any results shared will be aggregated and anonymized, and the relevant publication would
make clear that the results reflect the views of program participants and are not generalizable
to the broader population of small businesses and their investors.
5. Information gathered will not be used for the purpose of substantially informing influential
policy decisions.
6. The collection is targeted to the solicitation of opinions from respondents who have
experience with the program or may have experience with the program in the future.

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Name: /s/ Kathryn Steinberg
To assist review, please provide answers to the following question:
Personally Identifiable Information:
1. Is personally identifiable information (PII) collected? [X] Yes [ ] No
Email addresses will be collected solely for purposes of providing access to a specific event and
communicating with participants regarding that event. The feedback platform may require an
email address for purposes of providing access to the questions. Other PII will also be requested
on a voluntary basis (e.g. location, professional background).
2. If Yes, is the information that will be collected included in records that are subject to the
Privacy Act of 1974? [X] Yes [ ] No
3. If Applicable, has a System or Records Notice been published? [ X ] Yes [ ] No
Gifts or Payments:
Is an incentive (e.g., money or reimbursement of expenses, token of appreciation) provided to
participants? [ ] Yes [X] No

BURDEN HOURS
Category of Respondent

No. of
Participation
Respondents Time
800 5 minutes each

Event Attendees
Totals

Burden

800 5 minutes each

66.7 hrs
66.7 hrs

FEDERAL COST: There is no anticipated annual cost to the Federal government.
If you are conducting a focus group, survey, or plan to employ statistical methods, please
provide answers to the following questions:
The selection of your targeted respondents
1. Do you have a customer list or something similar that defines the universe of potential
respondents and do you have a sampling plan for selecting from this universe?
[ ] Yes [X] No
If the answer is yes, please provide a description of both below (or attach the sampling plan)? If
the answer is no, please provide a description of how you plan to identify your potential group of
respondents and how you will select them?
The registration & feedback questions will be shared with event participants or those who
register for the Event. The individuals who choose to register and choose to respond will be the

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initial universe of respondents for the registration questions. Attendees who choose to complete
the feedback questions will comprise the remaining group of respondents.
Administration of the Instrument
1. How will you collect the information? (Check all that apply)
[X] Web-based or other forms of Social Media
[ ] Telephone
[ ] In-person
[ ] Mail
[ ] Other, Explain
2. Will interviewers or facilitators be used? [ ] Yes [X] No
Please make sure that all instruments, instructions, and scripts are submitted with the
request.

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