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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:
3235-0025
ICR Reference No:
201612-3235-016
Status:
Historical Active
Previous ICR Reference No:
201507-3235-001
Agency/Subagency:
SEC
Agency Tracking No:
IM-270-021
Title:
Rule 30e-1 under the Investment Company Act of 1940, Reports to Stockholders of Management Companies
Type of Information Collection:
Revision of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved without change
Conclusion Date:
03/02/2017
Retrieve Notice of Action (NOA)
Date Received in OIRA:
12/22/2016
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
03/31/2020
36 Months From Approved
07/31/2017
Responses
23,718
0
21,500
Time Burden (Hours)
1,043,592
0
935,049
Cost Burden (Dollars)
368,352,399
0
333,905,750
Abstract:
Rule 30e-1 under the Investment Company Act generally requires a registered management company (“fund”) to transmit to its shareholders, at least semi-annually, a report containing the information that is required to be included in such reports by the fund’s registration statement form under the Investment Company Act.
Authorizing Statute(s):
US Code:
15 USC 80a-29(e)
Name of Law: Investment Company Act of 1940
Citations for New Statutory Requirements:
PL: Pub.L. 111 - 203 124 Name of Law: Dodd Frank Wall Street Reform and Consumer Protection Act
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
3235-AL42
Final or interim final rulemaking
81 FR 81870
11/18/2016
Federal Register Notices & Comments
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
Rule 30e-1 under the Investment Company Act of 1940, Reports to Stockholders of Management Companies
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
23,718
21,500
0
0
2,218
0
Annual Time Burden (Hours)
1,043,592
935,049
0
0
108,543
0
Annual Cost Burden (Dollars)
368,352,399
333,905,750
0
0
34,446,649
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:
The estimates represent an increase from 935,049 hours to 1,043,592 hours in internal burden and an increase from $333,905,750 to $368,352,399 in external costs per year. The increase in internal burden hours is due to both the increase in the number of portfolios estimated to respond to rule 30e-1, the increased burden of our amendments to Regulation S-X, and the inapplicability of one-time hour burdens that were associated with amendments to Forms N-1A, N-2 and N-3. The increase in external costs per year is also due to the increase in the number of portfolios estimated to respond to rule 30e-1.
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 [Pub. L. 111-148 & 111-152]?
No
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
No
Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?
No
Is this ICR related to the Pandemic Response?
Uncollected
Agency Contact:
Jacob Krawitz 202 551-4673
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:
12/22/2016
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