View Information Collection Request (ICR) Package
Skip to main content
An official website of the United States government
The .gov means it's official.
Federal government websites often end in .gov or .mil. Before sharing sensitive information, make sure you're on a federal government site.
The site is secure.
The https:// ensures that you are connecting to the official website and that any information you provide is encrypted and transmitted securely.
Search:
Agenda
Reg Review
ICR
This script is used to control the display of information in this page.
Display additional information by clicking on the following:
All
Brief and OIRA conclusion
Abstract/Justification
Legal Statutes
Rulemaking
FR Notices/Comments
IC List
Burden
Misc.
Common Form Info.
Certification
View Information Collection (IC) List
View Supporting Statement and Other Documents
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:
3235-0307
ICR Reference No:
201306-3235-011
Status:
Historical Inactive
Previous ICR Reference No:
201211-3235-006
Agency/Subagency:
SEC
Agency Tracking No:
IM 270-21
Title:
Form N-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end 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:
Comment filed on proposed rule and continue
Conclusion Date:
09/09/2013
Retrieve Notice of Action (NOA)
Date Received in OIRA:
06/24/2013
Terms of Clearance:
Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR. The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule.
Inventory as of this Action
Requested
Previously Approved
Expiration Date
02/29/2016
36 Months From Approved
02/29/2016
Responses
6,002
0
6,002
Time Burden (Hours)
1,578,689
0
1,578,689
Cost Burden (Dollars)
122,730,472
0
122,730,472
Abstract:
Form N-1A is the form used by open-end management investment companies, except small business investment companies and insurance company separate accounts, to register under the investment Company Act of 1940 and to register 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 77e
Name of Law: Securities Act of 1933
US Code:
15 USC 80a-8
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-AK61
Proposed rulemaking
78 FR 36833
06/19/2013
Federal Register Notices & Comments
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-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies
SEC2052
Form N-1A
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:
i. Floating NAV Proposal The total annual hour burden of 1,579,596 hours represents an increase of 907 hours over the previous burden hour estimate of 1,578,689 hours. In addition, the annual external cost burden of $123,775,335 represents an increase of $1,044,863 over the previous annual external cost burden estimate of $122,730,472. The changes in burden hours and external cost burdens are due to the staff's estimates of the time costs and external costs that would result from our proposed amendments. ii. Liquidity Fees and Gates Proposal The total annual hour burden of 1,579,696 hours represents an increase of 1,007 hours over the previous burden hour estimate of 1,578,689 hours. In addition, the annual external cost burden of $124,820,197 represents an increase of $2,089,725 over the previous annual external cost burden estimate of $122,730,472. The changes in burden hours and external cost burdens are due to the staff's estimates of the time costs and external costs that would result from our proposed amendments. iii. A Note Regarding the Form 83-I The total annual hour burden of 1,579,646 hours represents an increase of 957 hours over the previous burden hour estimate of 1,578,689 hours. In addition, the annual external cost burden of $124,297,766 represents an increase of $1,567,294 over the previous annual external cost burden estimate of $122,730,472. The changes in burden hours and external cost burdens are due to the staff's estimates of the time costs and external costs that would result from our proposed amendments.
Annual Cost to Federal Government:
$19,800,000
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]?
No
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
No
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:
Adam Bolter 202 551-6011
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:
06/24/2013
An official website of the United States government
The .gov means it's official.
The site is secure.
