View Information Collection Request (ICR) Package
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Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
3235-0730
ICR Reference No:
202101-3235-021
Status:
Historical Active
Previous ICR Reference No:
201811-3235-008
Agency/Subagency:
SEC
Agency Tracking No:
IM-270-776
Title:
Rule 30b1-9 and Form N-PORT
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:
05/14/2021
Retrieve Notice of Action (NOA)
Date Received in OIRA:
01/27/2021
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
11/30/2021
36 Months From Approved
11/30/2021
Responses
136,584
0
136,584
Time Burden (Hours)
1,848,326
0
1,803,826
Cost Burden (Dollars)
108,457,536
0
103,776,240
Abstract:
Rule 30b1-9 requires certain registered investment companies to file portfolio holdings reports on Form N-PORT(17 CFR 274.150) on a monthly basis with the Commission.
Authorizing Statute(s):
US Code:
15 USC 80a-29
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:
3235-AL60
Final or interim final rulemaking
85 FR 83162
12/21/2020
Federal Register Notices & Comments
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
1
IC Title
Form No.
Form Name
Form N-PORT
SEC (UNKNOWN)
FORM N-PORT
ICR Summary of Burden
Total Approved
Previously Approved
Change Due to New Statute
Change Due to Agency Discretion
Change Due to Adjustment in Estimate
Change Due to Potential Violation of the PRA
Annual Number of Responses
136,584
136,584
0
0
0
0
Annual Time Burden (Hours)
1,848,326
1,803,826
0
44,500
0
0
Annual Cost Burden (Dollars)
108,457,536
103,776,240
0
4,681,296
0
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 internal hour burden of 1,848,326 hours represents an increase of 44,500 hours over the previous internal hour burden estimate of 1,803,826 hours. In addition, the total annual external cost burden of $108,457,536 represents an increase of $4,681,296 over the previous external cost burden estimate of $103,776,240. The changes in burden hours and external cost burdens are due to the staff’s estimates of the time costs and external costs that will result from the final amendments to Form N-PORT associated with the recent adoption of new rule 18f-4 under the Investment Company Act to provide an updated, comprehensive approach to the regulation of funds’ use of derivatives.
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:
Amy Miller 202 551-4447
Common Form ICR:
No
On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
(a) It is necessary for the proper performance of agency functions;
(b) It avoids unnecessary duplication;
(c) It reduces burden on small entities;
(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
(f) It indicates the retention periods for recordkeeping requirements;
(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
(i) Why the information is being collected;
(ii) Use of information;
(iii) Burden estimate;
(iv) Nature of response (voluntary, required for a benefit, or mandatory);
(v) Nature and extent of confidentiality; and
(vi) Need to display currently valid OMB control number;
(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
(i) It uses effective and efficient statistical survey methodology (if applicable); and
(j) It makes appropriate use of information technology.
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
Certification Date:
01/27/2021
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