RULE 11A-3 UNDER THE INVESTMENT COMPANY ACT OF 1940 ALLOWANCE OF CERTAIN EXCHANGE OFFERS BY OPEN-END INVESTMENT COMPANIES & THEIR PRINCIPAL UNDERWRITERS
ICR 199108-3235-015
OMB: 3235-0358
Federal Form Document
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0358 can be found here:
RULE 11A-3 UNDER THE
INVESTMENT COMPANY ACT OF 1940 ALLOWANCE OF CERTAIN EXCHANGE OFFERS
BY OPEN-END INVESTMENT COMPANIES & THEIR PRINCIPAL
UNDERWRITERS
RULE 11A-3 ALLOWS CERTAIN OPEN-END
INVESTMENT COMPANIES AND THEIR PRINCIPAL UNDERWRITERS TO MAKE
CERTAIN EXCHANGE OFFERS TO THEIR OWN SHAREHOLDERS OR TO
SHAREHOLDERS OF ANOTHER FUND IN THE SAME GROUP OF FUNDS.
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.