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View ICR - OIRA Conclusion

OMB Control No: 3235-0358	ICR Reference No: 202401-3235-019
Status: Active	Previous ICR Reference No: 202103-3235-011
Agency/Subagency: SEC	Agency Tracking No: IM-270-321
Title: Rule 11a-3 under the Investment Company Act of 1940 - Offers of Exchange by Open-End Investment Companies Other Than Separate Accounts.
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: 05/17/2024
	Date Received in OIRA: 04/11/2024
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2027	36 Months From Approved	08/31/2024
Responses	414	0	419
Time Burden (Hours)	552	0	559
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	414	419	-5
Annual Time Burden (Hours)	552	559	-7
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 change in the number of annual responses from 419 to 414 is due to a change in the number of funds registered with the Commission. The change in the estimated total annual burden hours from 559 hours to 552 hours is due to a similar change in the estimated number of active registered open-ended funds.

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: Nathan Schuur 202 551-6394

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