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:
3235-0642
ICR Reference No:
201411-3235-009
Status:
Historical Active
Previous ICR Reference No:
201203-3235-013
Agency/Subagency:
SEC
Agency Tracking No:
IM-270-580
Title:
Mutual Fund Interactive Data
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:
10/05/2015
Retrieve Notice of Action (NOA)
Date Received in OIRA:
04/23/2015
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
10/31/2018
36 Months From Approved
10/31/2015
Responses
14,360
0
13,000
Time Burden (Hours)
172,323
0
156,000
Cost Burden (Dollars)
9,355,713
0
8,200,000
Abstract:
Open-end management investment companies ("funds") are required to submit to the Commission information included in their registration statements, or information included in or amended by post-effective amendments thereto, in response to Items 2, 3, and 4 ("risk/return summary information") of Form N-1A (OMB Control No. 3235-0307) in interactive data format and to post it on their Web sites, if any, in interactive data form. In addition, funds are required to submit an interactive data file to the Commission for any form of prospectus filed pursuant to rule 497(c) or (e) under the Securities Act of 1933 that includes risk/return summary information that varies from the registration statement and to post the interactive data file on their Web sites, if any.
Authorizing Statute(s):
US Code:
15 USC 80a-1 et seq.
Name of Law: Investment Company Act of 1940
US Code:
15 USC 77a et seq
Name of Law: Securities Act of 1933
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:
79 FR 71462
12/02/2014
30-day Notice:
Federal Register Citation:
Citation Date:
80 FR 5592
02/02/2015
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
Mutual Fund Interactive Data
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
14,360
13,000
0
0
1,360
0
Annual Time Burden (Hours)
172,323
156,000
0
0
16,323
0
Annual Cost Burden (Dollars)
9,355,713
8,200,000
0
0
1,155,713
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 complying with the Mutual Fund Interactive Data requirements is 156,000 hours. The new estimate for complying with the Mutual Fund Interactive Data requirements is 172,320 hours, representing an increase of 16,320 hours. The increase in hourly burden is due to an increase in the number of funds as well as the Commission's increased estimate of the number of funds that will provide risk/return summary information as interactive data in additional filings submitted pursuant to rule 485(b) or rule 497 annually. Currently, the total cost burden for software and/or consulting services is approximately $8,200,000. The new total cost burden is $9,397,510, representing an increase of $1,197,510. This increase is due to the increase in the number of funds as well as accounting for the effects of inflation.
Annual Cost to Federal Government:
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:
Erin Loomis 202 551-6721
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:
04/23/2015
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