View Information Collection Request (ICR) Package

OMB Control No: 3235-0316	ICR Reference No: 200912-3235-004
Status: Historical Inactive	Previous ICR Reference No: 200701-3235-022
Agency/Subagency: SEC	Agency Tracking No: IM-270-281
Title: Form N-3 under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of separate accounts organized as management investment companies
Type of Information Collection: Revision of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Preapproved	Conclusion Date: 01/29/2010
	Date Received in OIRA: 12/08/2009
Terms of Clearance: Pre-approval contingent upon no substantive changes to this collection after adoption of the final rule. Otherwise this collection should be re-submitted to OMB for review. Previous terms of clearance still apply.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2013	36 Months From Approved	08/31/2010
Responses	17	0	32
Time Burden (Hours)	13,011	0	12,973
Cost Burden (Dollars)	586,100	0	540,200

Abstract: Form N-3 is the form separate accounts organized as management investment companies use to register under the Investment Company Act of 1940 and to offer their securities under the Securities Act of 1933. The SEC uses the information filed in registration statements to verify compliance with the federal securities laws.

Authorizing Statute(s): US Code: 15 USC 77c(b), 77e, 77f, 77s(a) Name of Law: Securities Act of 1933
   US Code: 15 USC 78l, 78m, 78n, 78o(d), 78w(a) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 80a-8, 80a-20(a), 80a-24(a), Name of Law: Investment Company Act of 1940
   US Code: 15 USC 80a-29, 80a-38 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:
3235-AK28	Proposed rulemaking	74 FR 35076	07/17/2009

Federal Register Notices & Comments
Did the Agency receive public comments on this ICR? No

ICR Summary of Burden

	Total Request	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	17	32	-15
Annual Time Burden (Hours)	13,011	12,973	38
Annual Cost Burden (Dollars)	586,100	540,200	45,900

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The amendments proposed in Release No. 33-9052 would require additional disclosure regarding compensation policies and corporate governance, and facilitate shareholder communications relating to voting and investment decisions. The increase in the burden associated with Form N-3 is necessary in order to enhance the transparency of director and nominee qualifications, board leadership structure, and the boards oversight of risk. The proposal will result in an increase of 38 burden hours and an increase in the cost burden of $45,900 for services of outside professionals. For a more detailed discussion, please refer to the supporting statement.

Annual Cost to Federal Government: $75,000

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: Marc Sharma 2025516784 sharmam@sec.gov

View ICR - OIRA Conclusion