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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:
3235-0503
ICR Reference No:
201811-3235-012
Status:
Historical Active
Previous ICR Reference No:
201502-3235-006
Agency/Subagency:
SEC
Agency Tracking No:
IM-270-466
Title:
Form N-6 (17 CFR 239.17c) under the Securities Act of 1933 and (17 CFR 274.11d) 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:
05/07/2019
Retrieve Notice of Action (NOA)
Date Received in OIRA:
02/12/2019
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
05/31/2022
36 Months From Approved
05/31/2019
Responses
388
0
472
Time Burden (Hours)
31,812
0
85,269
Cost Burden (Dollars)
3,816,692
0
5,316,892
Abstract:
Form N-6 is the form used by insurance company separate accounts organized as unit investment trusts that offer variable life insurance contracts to register as investment companies under the Investment Company Act of 1940 [15 U.S.C. 80a-1 et seq.] ("Investment Company Act") and/or to register their securities under the Securities Act of 1933 [15 U.S.C. 77a et seq.].
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:
83 FR 55210
11/02/2018
30-day Notice:
Federal Register Citation:
Citation Date:
84 FR 1262
02/01/2019
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-6 (17 CFR 239.17c) under the Securities Act of 1933 and (17 CFR 274.11d) under the Investment Company Act of 1940, Registration Statement of Separate Accounts Organized as Unit Investment Trust
SEC 2567
Form N-6
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
388
472
0
0
-84
0
Annual Time Burden (Hours)
31,812
85,269
0
0
-53,457
0
Annual Cost Burden (Dollars)
3,816,692
5,316,892
0
0
-1,500,200
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 hour burden for preparing and filing registration statements on Form N-6 is 85,269 hours and the total annual cost burden allocated to Form N-6 is $5,316,892. These burdens were based on the previous estimate of 472 total annual responses (76 initial responses + 396 post-effective amendments). The new estimate of the total annual hour burden is 31,812 hours and the new estimate of the total annual cost burden is $3,816,692. These new burdens are based on the new estimated total annual number of responses of 388 total annual responses (8 initial responses + 380 post-effective amendments). The decrease to the total annual hour burden of 53,457 hours and the decrease to the total annual cost burden of $1,500,200 are due to a decrease in estimated responses representing initial filings, as well as a decrease in the estimated number of responses representing post-effective amendments.
Annual Cost to Federal Government:
$0
Does this IC contain surveys, censuses, or employ statistical methods?
No
Does this ICR request any personally identifiable information (see
OMB Circular No. A-130
for an explanation of this term)? Please consult with your agency's privacy program when making this determination.
No
Does this ICR include a form that requires a Privacy Act Statement (see
5 U.S.C. §552a(e)(3)
)? Please consult with your agency's privacy program when making this determination.
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:
John Lee 202 551-5689
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:
02/12/2019
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