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View ICR - OIRA Conclusion

OMB Control No: 3235-0648	ICR Reference No: 202010-3235-001
Status: Historical Active	Previous ICR Reference No: 201808-3235-008
Agency/Subagency: SEC	Agency Tracking No: IM-270-574
Title: Rule 498 under the Securities Act of 1933, Summary Prospectuses for 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: Approved with change	Conclusion Date: 11/19/2020
	Date Received in OIRA: 10/23/2020
Terms of Clearance: Burden changes clarified in ROCIS during review.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2021	36 Months From Approved	03/31/2021
Responses	9,057	0	10,532
Time Burden (Hours)	20,327	0	15,798
Cost Burden (Dollars)	167,458,800	0	167,458,800

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	9,057	10,532	-1,475
Annual Time Burden (Hours)	20,327	15,798	4,529
Annual Cost Burden (Dollars)	167,458,800	167,458,800	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The total annual hour burden of 20,327 hours represents an increase of 4,529 hours over the previous burden hour estimate of 15,798 hours. In addition, the annual external cost burden of $167,458,800 has not changed. The changes in burden hours are due to the staff’s estimates of the time costs that would result from our amendments to rule 498 in connection with the adoption of rule 30e-3.

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. Yes

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: John Lee 202 551-5689

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