R RULE 270.31A-1 - RECORDS TO BE MAINTAINED BY REGISTERED INVESTMENT COMPANIES, CERTAIN MAJMAJORITY-OWNED SUBSIDIARIS AND OTHER PERSONS

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Forms and supporting documents for this ICR

Document	Type	Status	Availability

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IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
158796	R RULE 270.31A-1 - RECORDS TO BE MAINTAINED BY REGISTERED INVESTMENT COMPANIES, CERTAIN MAJMAJORITY-OWNED SUBSIDIARIS AND OTHER PERSONS		Migrated

ICR Details

OMB Control No: 3235-0178	ICR Reference No: 198110-3235-037
Status: Historical Active	Previous ICR Reference No:
Agency/Subagency: SEC	Agency Tracking No:
Title: R RULE 270.31A-1 - RECORDS TO BE MAINTAINED BY REGISTERED INVESTMENT COMPANIES, CERTAIN MAJMAJORITY-OWNED SUBSIDIARIS AND OTHER PERSONS
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/21/1981
	Date Received in OIRA: 10/23/1981
Terms of Clearance: Agency will indicate what efforts have been made to reduce public burden by exercising the authority to exempt transactions. Agency will examine the six year statutory retention period - is this period adequate, excessively short or long? Should the statute be changed?

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/1982	09/30/1982
Responses	393,120	0	0
Time Burden (Hours)	2,200,000	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: RULE 31A-1 REQUIRES INVESTMENT COMPANY REGISTRANTS TO KEEP CERTAIN BOO AND RECORDS WHICH FORM THE BASIS FOR THEIR FINANCIAL STATEMENTS AND A RECORD OF THEIR OPERATIONS ACTIVITIES SO THAT THESE ACTIVITIES CAN BE EXAMINED BY COMMISSION PERSONNEL FOR COMPLIANCE WITH THE LAW.

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
R RULE 270.31A-1 - RECORDS TO BE MAINTAINED BY REGISTERED INVESTMENT COMPANIES, CERTAIN MAJMAJORITY-OWNED SUBSIDIARIS AND OTHER PERSONS

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ICR Summary of Burden

table that charts list 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	393,120	0	0	0	393,120	0
Annual Time Burden (Hours)	2,200,000	0	0	0	2,200,000	0
Annual Cost Burden (Dollars)	0	0	0	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:

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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: 10/23/1981

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