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View ICR - OIRA Conclusion

OMB Control No: 3235-0226	ICR Reference No: 202106-3235-006
Status: Historical Active	Previous ICR Reference No: 201805-3235-012
Agency/Subagency: SEC	Agency Tracking No: IM-270-237
Title: Rule 10f-3 (17 CFR 270.10f-3) under the Investment Company Act of 1940, Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
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: 12/13/2021
	Date Received in OIRA: 10/12/2021
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2024	36 Months From Approved	02/28/2022
Responses	6,817	0	3,692
Time Burden (Hours)	6,623	0	4,080
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	6,817	3,692	3,125
Annual Time Burden (Hours)	6,623	4,080	2,543
Annual Cost Burden (Dollars)	0	0	0

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 annual burden hours increased by 2,543 hours (from 4,080 hours to 6,623 hours). The increase in hours reflects a change in methodology in estimating burdens due to changes in Rule 10f-3 reporting requirements, coupled with revised estimates, including an increase in the estimated number of funds that rely on Rule 10f-3 each year.

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: Amy Miller 202 551-4447

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