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OMB Control No:
3235-0758
ICR Reference No:
202509-3235-009
Status:
Received in OIRA
Previous ICR Reference No:
202212-3235-015
Agency/Subagency:
SEC
Agency Tracking No:
IM-270-802
Title:
Rule 30e-3 (17 CFR 270.30e-3) under the Investment Company Act of 1940, "Internet availability of reports to shareholders"
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:
12/03/2025
Requested
Previously Approved
Expiration Date
36 Months From Approved
04/30/2026
Responses
1,406
1,196
Time Burden (Hours)
1,406
1,256
Cost Burden (Dollars)
5,129,088
4,200,000
Abstract:
Rule 30e-3 (17 CFR 270.30e-3) under the Investment Company Act of 1940, as amended, provides an optional method for a management company registered on Form N-2 or Form N-3 and any separate series of the management company that is required to transmit a report to shareholders pursuant to rule 30e-1 (17 CFR 270.30e-1) under the Investment Company Act of 1940, as amended, to satisfy shareholder report transmission requirements by making such reports and certain other materials publicly accessible on a website, as long as they satisfy certain other conditions of the rule. Reliance on the rule is voluntary to satisfy the reporting requirement.
Authorizing Statute(s):
US Code:
15 USC 80a
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 46670
09/29/2025
30-day Notice:
Federal Register Citation:
Citation Date:
90 FR 55768
12/03/2025
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 30e-3 (17 CFR 270.30e-3) under the Investment Company Act of 1940, "Internet availability of reports to shareholders"
ICR Summary of Burden
Total Request
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
1,406
1,196
0
0
210
0
Annual Time Burden (Hours)
1,406
1,256
0
0
150
0
Annual Cost Burden (Dollars)
5,129,088
4,200,000
0
0
929,088
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 total annual hour burden for entities affected by rule 30e-3 under the Investment Company Act of 1940, as amended, has increased from 1,256 hours to 1,406 hours (an increase of 150 hours). The estimated annual external costs have increased from $4,200,000 to $5,129,088 (an increase of $929,088). These estimated increases in burden hours and external costs reflect changes in the number of affected entities and in the external cost associated with the information collection requirements. These changes reflect revised estimates and burdens attributable to requirements under the rule.
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.
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:
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:
12/03/2025
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