RULE 17J-1 UNDER THE INVESTMENT COMPANY ACT OF 1940, CERTAIN UNLAWFUL ACTS, PRACTICES, OR COURSES OF BUSINESS AND REQUIREMENTS RELATING TO CODES OF ETHICS WITH RESPECT TO...

ICR 198610-3235-011

OMB: 3235-0224

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0224 198610-3235-011
Historical Active 198309-3235-006
SEC
RULE 17J-1 UNDER THE INVESTMENT COMPANY ACT OF 1940, CERTAIN UNLAWFUL ACTS, PRACTICES, OR COURSES OF BUSINESS AND REQUIREMENTS RELATING TO CODES OF ETHICS WITH RESPECT TO...
Revision of a currently approved collection   No
Regular
Approved without change 01/25/1987
Retrieve Notice of Action (NOA) 10/27/1986
  Inventory as of this Action Requested Previously Approved
11/30/1989 11/30/1989 11/30/1986
2,800 0 3,120
16,800 0 1,560
0 0 0

SECTION 17(J) OF THE INVESTMENT COMPANY ACT OF 1930 MAKES IT UNLAWFUL FOR ANY AFFILIATED PERSON OF A REGISTERED INVESTMENT COMPANY TO ENGAGE CERTAIN TYPES OF FRAUDULENT PRACTICES. RULE 17J-1, IN FURTHERANCE OF THIS OBJECTIVE, REQUIRES THAT COMPANIES ADOPT CODES OF ETHICS DESIGNED TO PREVENT SUCH FRAUDULENT PRACTICES.

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 2,800 3,120 0 0 -320 0
Annual Time Burden (Hours) 16,800 1,560 0 0 15,240 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.
10/27/1986


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