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View ICR - OIRA Conclusion

OMB Control No: 3235-0354	ICR Reference No: 202001-3235-007
Status: Historical Active	Previous ICR Reference No: 201612-3235-029
Agency/Subagency: SEC	Agency Tracking No: IM-270-312
Title: Rule 19b-1 (17 CFR 270.19b-1) under the Investment Company Act of 1940 - Frequency of Distribution of Capital Gains
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: 06/12/2020
	Date Received in OIRA: 04/24/2020
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2023	36 Months From Approved	08/31/2020
Responses	2,233	0	2,579
Time Burden (Hours)	15	0	40
Cost Burden (Dollars)	123,500	0	148,950

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	2,233	2,579	-346
Annual Time Burden (Hours)	15	40	-25
Annual Cost Burden (Dollars)	123,500	148,950	-25,450

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 estimated burden hours associated with rule 19b-1 have decreased from the current allocation of 40 hours to 15 hours, a decrease of 25 hours. This decrease is due to a decrease in the estimated number of funds filing applications for exemptive orders pursuant to rule 19b-1(e) (from 5 to 3 per year). The estimated cost burden of $148,950 has decreased to $123,500, a decrease of $25,450. The decrease in the cost burden is due to a decrease in the estimated number of UITs that may rely on rule 19b-1(c).

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? No

Agency Contact: James Maclean 202 551-7794

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