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:
3235-0311
ICR Reference No:
202505-3235-017
Status:
Active
Previous ICR Reference No:
202206-3235-012
Agency/Subagency:
SEC
Agency Tracking No:
IM
Title:
Rule 7d-1, Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration
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:
11/14/2025
Retrieve Notice of Action (NOA)
Date Received in OIRA:
08/13/2025
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
11/30/2028
36 Months From Approved
11/30/2025
Responses
1
0
1
Time Burden (Hours)
5
0
4
Cost Burden (Dollars)
5,256
0
5,130
Abstract:
Rule 7d-1 (17 CFR 270.7d-1) under the Investment Company Act of 1940 allows a Canadian management investment company to request an order from the Commission permitting it to register under certain conditions. The Canadian management investment company has certain reporting requirements, including filing an application and certain other documents with the Commission, to ensure that the substantive provisions of the Act may be enforced as a matter of contract right in the United States or Canada by the fund's shareholders or by the Commission.
Authorizing Statute(s):
US Code:
15 USC 80a-7
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:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
90 FR 22819
05/29/2025
30-day Notice:
Federal Register Citation:
Citation Date:
90 FR 39007
08/13/2025
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
Rule 7d-1, Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration
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
1
1
0
0
0
0
Annual Time Burden (Hours)
5
4
0
0
1
0
Annual Cost Burden (Dollars)
5,256
5,130
0
0
126
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 number of 5 burden hours reflects a change of .58 from the previous allocation of 4.42 burden hours. In a prior allocation, a single registrant filed one supplemental application under rule 7d-1 in the three years prior to such allocation, and for purposes of this PRA, we are assuming one supplemental application under rule 7d-1 would be filed in a three-year period. The estimated cost burden of $5,256 has increased by $126 from the prior estimate of $5,130. The workload for the lone registrant has not changed but the estimated average cost of outside counsel has increased since the previous allocation.
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:
Y. Rachel Kuo 202 551-3589
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:
08/13/2025
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