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

ICR 198110-3235-037

OMB: 3235-0178

Federal Form Document

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ICR Details
3235-0178 198110-3235-037
Historical Active
SEC
R RULE 270.31A-1 - RECORDS TO BE MAINTAINED BY REGISTERED INVESTMENT COMPANIES, CERTAIN MAJMAJORITY-OWNED SUBSIDIARIS AND OTHER PERSONS
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 12/21/1981
Retrieve Notice of Action (NOA) 10/23/1981
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?
  Inventory as of this Action Requested Previously Approved
09/30/1982 09/30/1982
393,120 0 0
2,200,000 0 0
0 0 0

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.

None
None


No

  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
No
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected

  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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
10/23/1981


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