View Information Collection Request (ICR) Package
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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:
3235-0186
ICR Reference No:
200910-3235-012
Status:
Historical Active
Previous ICR Reference No:
200701-3235-027
Agency/Subagency:
SEC
Agency Tracking No:
IM-270-186
Title:
Form N-8B-2; Registration Statement of Unit Investment Trusts that are currently issuing securities.
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:
02/08/2010
Retrieve Notice of Action (NOA)
Date Received in OIRA:
01/08/2010
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
02/28/2013
36 Months From Approved
08/31/2010
Responses
16
0
10
Time Burden (Hours)
312
0
188
Cost Burden (Dollars)
103,700
0
52,500
Abstract:
Form N-8B-2 is the registration statement form used by unit investment trusts currently issuing securities to register under the Investment Company Act of 1940.
Authorizing Statute(s):
US Code:
15 USC 80a-8(b)
Name of Law: Section 8(b) of the 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:
74 FR 57540
11/06/2009
30-day Notice:
Federal Register Citation:
Citation Date:
75 FR 1090
01/08/2010
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-8B-2; Registration Statement of Unit Investment Trusts that are currently issuing securities.
SEC-977
Form N-8B-2
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
16
10
0
0
6
0
Annual Time Burden (Hours)
312
188
0
0
124
0
Annual Cost Burden (Dollars)
103,700
52,500
0
0
51,200
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 annual hour burden for preparing and filing registration statements on Form N-8B-2 is 188 hours and the total cost burden allocated to Form N 8B-2 is $52,500. These burdens were based on the previous estimate of 10 responses (1 initial filing + 9 post-effective amendments = 10 total responses). The previous total cost burden was also based on the previous estimate of $7,500 for the cost burden per filing of preparing and filing an initial Form N-8B-2 and $5,000 for the cost burden per filing of preparing and filing a post effective amendment to Form N-8B-2. The new estimate of the total annual hour burden is 312 hours and the new estimate of the total cost burden is $103,700. These new burdens are based on the new estimated total number of responses of 16 (2 initial filings + 14 post-effective amendments = 16 total responses) and the new estimates of $9,150 for the cost burden per filing of preparing and filing an initial Form N-8B-2 and $6,100 for the cost burden per filing of preparing and filing a post effective amendment to Form N-8B-2. The increase in the total annual hour burden of 124 hours and the increase in the total annual cost burden of $51,200 are due to an increase in estimated responses representing initial filings and an increase in the estimated number of responses representing post-effective amendments. The increase in the total annual cost burden is also due to an adjustment to the prior cost burden per filing estimates to account for inflation.
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]?
Uncollected
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
Uncollected
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:
Kieran Brown 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:
01/08/2010
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