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OMB Control No: 3235-0564	ICR Reference No: 202508-3235-001
Status: Received in OIRA	Previous ICR Reference No: 202209-3235-007
Agency/Subagency: SEC	Agency Tracking No: IM
Title: Rule 17a-6, Exemption for Transactions with Portfolio Affiliates
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular	Date Submitted to OIRA: 11/18/2025

	Requested	Previously Approved
Expiration Date	36 Months From Approved	02/28/2026
Responses	98	335
Time Burden (Hours)	69	67
Cost Burden (Dollars)	0	0

ICR Summary of Burden

	Total Request	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	98	335	-237
Annual Time Burden (Hours)	69	67	2
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: Rule 17a-6 has a current annual burden of 1 hour. The hour burden associated with rule 17a-6 has increased 2 hours from 67 hours to 69 hours since our last burden analysis due to changes in methodology. The number of respondents has decreased from 335 to 98. The decrease is due to a change in methodology and a decrease in the number of funds relying on rule 17a-6 based upon our review of Form N-CEN filings.

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: Andrew Deglin 202 551-7337