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View ICR - OIRA Conclusion

OMB Control No: 3235-0459	ICR Reference No: 201211-3235-032
Status: Historical Active	Previous ICR Reference No: 200912-3235-002
Agency/Subagency: SEC	Agency Tracking No: IM-270-401
Title: Rule 3a-4 (17 CFR 270.3a-4) under the Investment Company Act of 1940
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: 04/12/2013
	Date Received in OIRA: 12/03/2012
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2016	36 Months From Approved	04/30/2013
Responses	56,455,025	0	15,548,355
Time Burden (Hours)	22,852,994	0	5,607,528
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	56,455,025	15,548,355	40,906,670
Annual Time Burden (Hours)	22,852,994	5,607,528	17,245,466
Annual Cost Burden (Dollars)	0	0	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: The total annual time burden of 22,852,994 hours represents an increase of 17,245,466 hours from the prior estimate of 5,607,528 hours. This increase principally results from an increase in the estimated number of clients, which was due to a change in the way Commission staff made its estimates. The change in annual burden hours also reflects changes in the estimated burden hours associated with several of the collections of information required under the rule (certain burden estimates increased and certain burden estimates decreased). These changes in estimated burden hours per collection of information result from changes in burden hours reported by representatives of investment advisers that rely on rule 3a-4 that Commission staff surveyed.

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