NOTIFICATION UNDER REG. E OF THE SECURITIES ACT OF 1933 FOR SMALL BUSINESS INVESTMENT COMPANIES RULE 604: FILING OF NOTIF ON FORM 1-E, RULE 605: FILING & USE OF THE OFFERING..
ICR 199204-3235-003
OMB: 3235-0232
Federal Form Document
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0232 can be found here:
NOTIFICATION UNDER REG. E OF
THE SECURITIES ACT OF 1933 FOR SMALL BUSINESS INVESTMENT COMPANIES
RULE 604: FILING OF NOTIF ON FORM 1-E, RULE 605: FILING & USE
OF THE OFFERING..
FORM 1-E AND, IN MOST CASES, AN
OFFERING CIRCULAR ARE FILED TO NOTIFY THE COMMISSION OF AN
INTENTION TO MAKE A LIMITED OFFERING OF SECURITIE AND TO SEEK THE
EXEMPTION PROVIDED BY REGULATION E FROM THE REGISTRATI PROVISIONS
OF THE SECURITIES ACT.
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.