Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Amendments to Form SDR: 13n-1(d) New 10 360 0
Annual Financial Reports: 13n-11(f) and (g) New 10 5000 5000000
Certification and Opinion of Counsel for Non-Resident SDRs: 13n-1(f) Modified 3 1 900
Chief Compliance Officer Removed 0 0 0
Conflict of Interest Controls: 13n-4(c)(3) New 10 2600 133333
Disclosure Removed 0 0 0
Disclosure: 13n-10 New 10 335 31333
Establish Procedures for Remediation of Compliance Issues: 13n-11(c)(6) and (7) New 10 2600 133333
Establish and Enforce Objective Criteria: 13n-4(c)(1)(iii) New 10 975 50000
IT Systems: 13n-4(b)(2) and (4) and 13n-5 New 10 392000 93333333
Make and Keep Records of Persons at Each Office: 13n-7(a)(1) New 10 5 0
Other Provisions Relevant to the Collection of Information Removed 0 0 0
Policies and Procedures: 13n-5(b)(1), (2), (3), and (5) and 13n-6 New 10 6500 333333
Policies and procedures to review any prohibition or limitation: 13n-4(c)(1)(iv) New 10 1300 66667
Prepare and Submit Annual Compliance Report: 13n-11(d), (e), and (h) New 10 50 0
Privacy Requirements: 13n-9(b)(1) and 13n-4(b)(8) New 10 2600 133333
Privacy Requirements: 13n-9(b)(2) New 10 1300 66667
Procedures and Facilities to Resolve Disputes: 13n-5(b)(6) New 10 1950 100000
Recordkeeping Requirement Removed 0 0 0
Registration on Form SDR: 13n-1(b) and 13n-3(a) and Form SDR Modified 10 1603 0 Form and Instruction SDR
Reports and Reviews Removed 0 0 0
Reports: 13n-8 New 10 10 0
SDR Duties, Data Collection and maintenance, Automated Systems, and Direct Electronic Access Removed 0 0 0
Storage of Records: 13n-7(b) New 10 3940 6000
Tagging Financial Reports: 13n-11(d) and (f) New 10 540 227720
Withdrawal from Registration: 13n-2 New 10 40 0
Written Policies and Procedures for Board and Senior Management; 13n-4(c)(2)(iv) New 10 1300 66667
Total burden requested under this ICR: 203 425009 99682619  
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