View Information Collection Request (ICR) Package

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View ICR - OIRA Conclusion

OMB Control No: 3235-0179	ICR Reference No: 201906-3235-012
Status: Historical Active	Previous ICR Reference No: 201611-3235-025
Agency/Subagency: SEC	Agency Tracking No: IM-270-174
Title: Rule 31a-2: Records to be preserved by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
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: 01/02/2020
	Date Received in OIRA: 10/30/2019
Terms of Clearance: In future iterations of this collection request, please include updated costs to the Federal Government from this collection.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2023	36 Months From Approved	03/31/2020
Responses	3,160	0	3,146
Time Burden (Hours)	696,464	0	693,542
Cost Burden (Dollars)	115,372,485	0	117,916,486

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	3,160	3,146	14
Annual Time Burden (Hours)	696,464	693,542	2,922
Annual Cost Burden (Dollars)	115,372,485	117,916,486	-2,544,001

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 hour burden estimate for compliance with rule 31a-2 has decreased, from 767,902 hours 696,464 hours (a decrease of 71,438 hours). This is due to a decrease in the estimated number of funds subject to rule 31a 2. The cost burden estimate for compliance with rule 31a 2 has decreased from about $122.2 million to about $115.4 million (an decrease of about $6.9 million). This is due to a decrease in the estimated number of funds subject to rule 31a 2, partially offset by the effects of inflation.

Annual Cost to Federal Government:

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: James DeLesDernier 202 551-6749 delesdemierj@sec.gov

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