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View ICR - OIRA Conclusion

OMB Control No: 3235-0636	ICR Reference No: 202012-3235-011
Status: Historical Active	Previous ICR Reference No: 201912-3235-002
Agency/Subagency: SEC	Agency Tracking No: IM-270-572
Title: Rule 0-2 under the Investment Company Act of 1940, General Requirements of Papers and Applications
Type of Information Collection: Revision of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 03/22/2021
	Date Received in OIRA: 01/21/2021
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2024	36 Months From Approved	10/31/2022
Responses	129	0	184
Time Burden (Hours)	2,617	0	3,738
Cost Burden (Dollars)	6,904,100	0	9,863,000

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	129	184	-55
Annual Time Burden (Hours)	2,617	3,738	-1,121
Annual Cost Burden (Dollars)	6,904,100	9,863,000	-2,958,900

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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The estimated hourly burden associated with rule 0-2 would decrease from 3,738 hours to 2,617 hours (a decrease of 1,121 hours). The estimated cost burden associated with rule 0-2 would decrease from $9,863,000 to $6,904,100 (a decrease of $2,958,000). These decreases are due to the adoption of rule 12d1-4 because it reduces the number of entities that require exemptive relief in order to operate, and permits fund of funds structures that satisfy certain conditions to operate without the expense and delay of obtaining an exemptive order.

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? No

Agency Contact: Terri Jordan 202 551-3239

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