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View ICR - OIRA Conclusion

OMB Control No: 3235-0464	ICR Reference No: 201102-3235-002
Status: Historical Active	Previous ICR Reference No: 200803-3235-031
Agency/Subagency: SEC	Agency Tracking No: TM-270-408
Title: Rule 101, 17 CFR 242.101 (Activities by Distribution Participants)
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: 06/07/2011
	Date Received in OIRA: 04/15/2011
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2014	36 Months From Approved	06/30/2011
Responses	1,588	0	1,634
Time Burden (Hours)	31,309	0	31,046
Cost Burden (Dollars)	0	0	1,763,723

Authorizing Statute(s): US Code: 15 USC 78q(h), 78w(a), 78dd-1, 78mm Name of Law: Securities Exchange Act of 1934, Sections 17(h), 23(a), 30A and 36
   US Code: 15 USC 77g,77q(a),77s(a) Name of Law: Securities Act of 1933, Sections 7, 17(a), and 19(a)
   US Code: 15 USC 78b,78c,78g(c)(2),78i(a),78j Name of Law: Securities Exchange Act of 1934, Sections 2,3,7(c)(2), 9(a), 10
   US Code: 15 USC 78k-1(c), 78I,78m,78n,78o(b), Name of Law: Securities Exchange Act of 1934, Sections 11A(c), 12, 13, 14, 15(b),
   US Code: 15 USC 78o(c),78o(h),78q(a),78q(b) Name of Law: Securities Exchange Act of 1934, Sections 15(c), 15(h), 17(a), 17(b)
   US Code: 15 USC 80a-23, 80a-29, and 80a-37 Name of Law: Investment Company Act of 1940, Sections 23, 29 and 37

Citations for New Statutory Requirements: None

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	1,588	1,634	-46
Annual Time Burden (Hours)	31,309	31,046	263
Annual Cost Burden (Dollars)	0	1,763,723	-1,763,723

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 agency would like to inform OMB of a mistake in the information provided in ROCIS in 2008. The 2008 ICR 200803-3235-031 supporting statement noted that the total annual reporting burden was 31,355 hours, however the information was incorrectly entered as 31,046 hours in ROCIS. When the 2011 supporting statement was drafted, 31,355 was used as the previous annual time burden for the baseline, and therefore there is a decrease of 46 annual hours due to the decrease in the total number of respondents. The cost burden was incorrectly reported as external costs instead of internal labor costs.

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