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Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
3235-0318
ICR Reference No:
201207-3235-005
Status:
Active
Previous ICR Reference No:
200907-3235-005
Agency/Subagency:
SEC
Agency Tracking No:
IM-270-282
Title:
Form N-4 (17 CFR 239.17b) under the Securities Act of 1933 and (17 CFR 274.11c) under the Investment Company Act of 1940, registration statement of separate accounts organized as unit investment trust
Type of Information Collection:
Extension without change of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved without change
Conclusion Date:
09/12/2012
Retrieve Notice of Action (NOA)
Date Received in OIRA:
07/23/2012
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
09/30/2015
36 Months From Approved
11/30/2012
Responses
1,251
1,251
1,464
Time Burden (Hours)
256,835
256,835
297,224
Cost Burden (Dollars)
26,609,241
26,609,241
29,428,280
Abstract:
Form N-4 is the form separate accounts organized as unit investment trusts that offer variable annuities use to register under the Investment Company Act of 1940 and to offer their securities under the Securities Act of 1933.
Authorizing Statute(s):
US Code: 15 USC 77e Name of Law: Securities Act of 1933
US Code: 15 USC 80a-8 Name of Law: Investment Company Act of 1940
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
77 FR 27101
05/08/2012
30-day Notice:
Federal Register Citation:
Citation Date:
77 FR 41461
07/13/2012
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
1
IC Title
Form No.
Form Name
Form N-4 (17 CFR 239.17b) under the Securities Act of 1933 and (17 CFR 274.11c) under the Investment Company Act of 1940, registration statement of separate accounts organized as unit investment trust
SEC 2125
Form N-4
ICR Summary of Burden
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
1,251
1,464
0
0
-213
0
Annual Time Burden (Hours)
256,835
297,224
0
0
-40,389
0
Annual Cost Burden (Dollars)
26,609,241
29,428,280
0
0
-2,819,039
0
Burden increases because of Program Change due to Agency Discretion:
No
Burden Increase Due to:
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
Currently, the approved total annual time burden for preparing and filing registration statements on Form N-4 is 297,224 hours and the total annual cost burden allocated to Form N 4 is $29,428,280. These burdens were based on the previous estimate of 1,464 total annual responses (104 initial responses + 1,360 post-effective amendments = 1,464 total annual responses). The new estimate of the total annual hour burden is 256,834.75 hours and the new estimate of the total annual cost burden is $26,609,241. These new burdens are based on the new estimated total annual number of responses of 1,251 (124 initial responses + 1,127 post-effective amendments = 1,251 total annual responses). The decrease to the total annual hour burden of 40,389.25 hours and the decrease to the total annual cost burden of $2,819,039 are due to a decrease in estimated responses representing post-effective amendments, offset slightly by an increase in the estimated number of responses representing initial filings.
Annual Cost to Federal Government:
$0
Does this IC contain surveys, censuses, or employ statistical methods?
No
Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002?
No
Is this ICR related to the Affordable Care Act [PPACA, P.L. 111-148 & 111-152]?
No
Is this ICR related to the Dodd-Frank Act [Dodd-Frank Wall Street Reform and Consumer Protection Act, P.L. 111-203]?
No
Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?
No
Agency Contact:
Deborah Skeens 202 942-0721
Common Form ICR:
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:
(a) It is necessary for the proper performance of agency functions;
(b) It avoids unnecessary duplication;
(c) It reduces burden on small entities;
(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
(f) It indicates the retention periods for recordkeeping requirements;
(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
(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;
(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
(i) It uses effective and efficient statistical survey methodology (if applicable); and
(j) It makes appropriate use of information technology.
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.
Certification Date:
07/23/2012
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