View Information Collection Request (ICR) Package

OMB Control No: 3235-0318	ICR Reference No: 201810-3235-033
Status: Historical Active	Previous ICR Reference No: 201502-3235-004
Agency/Subagency: SEC	Agency Tracking No: IM-270-282
Title: Form N-4 (17 CFR 239.17b) under the Securities Act of 1933 and (17 CFR 274.11c) under the Investment Company Act of 1940, registration statement of separate accounts organized as unit investment trust
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: 05/06/2019
	Date Received in OIRA: 02/08/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2022	36 Months From Approved	05/31/2019
Responses	1,361	0	1,653
Time Burden (Hours)	271,301	0	343,117
Cost Burden (Dollars)	32,111,916	0	36,308,889

Abstract: Form N-4 is the form separate accounts organized as unit investment trusts that offer variable annuities use to register under the Investment Company Act of 1940 and to offer their securities under the Securities Act of 1933.

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:
	Not associated with rulemaking

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 55224	11/02/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 1263	02/01/2019
Did the Agency receive public comments on this ICR? No

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	1,361	1,653	-292
Annual Time Burden (Hours)	271,301	343,117	-71,816
Annual Cost Burden (Dollars)	32,111,916	36,308,889	-4,196,973

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 total annual hour burden for preparing and filing registration statements on Form N-4 is 343,117 hours and the total annual cost burden allocated to Form N 4 is $36,308,889. These burdens were based on the previous estimate of 1,653 total annual responses (210 initial responses + 1,443 post-effective amendments). The new estimate of the total annual hour burden is 271,301 hours and the new estimate of the total annual cost burden is $32,111,916. These new burdens are based on the new estimated total annual number of responses of 1,361 total annual responses (35 initial responses + 1,326 post-effective amendments). The decrease to the total annual hour burden of 71,816 hours and the decrease to the total annual cost burden of $4,196,973 are due to a decrease in estimated responses representing initial filings, as well as a decrease in the estimated number of responses representing post-effective amendments.

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination. No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination. 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: John Lee 202 551-5689

View ICR - OIRA Conclusion