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

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ICR Details
3235-0358 199108-3235-015
Historical Active 198808-3235-003
SEC
RULE 11A-3 UNDER THE INVESTMENT COMPANY ACT OF 1940 ALLOWANCE OF CERTAIN EXCHANGE OFFERS BY OPEN-END INVESTMENT COMPANIES & THEIR PRINCIPAL UNDERWRITERS
Revision of a currently approved collection   No
Regular
Approved without change 11/04/1991
Retrieve Notice of Action (NOA) 08/05/1991
  Inventory as of this Action Requested Previously Approved
09/30/1994 09/30/1994 08/31/1991
2,800 0 2,450
5,600 0 4,900
0 0 0

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.

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 2,450 0 350 0 0
Annual Time Burden (Hours) 5,600 4,900 0 700 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
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.
08/05/1991


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