Rule 10f-3 (17 CFR 270.10f-3) under the Investment Company Act of 1940. Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability

No forms / supporting documents in this ICR. Check IC Document Collections.

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34628	Rule 10f-3 (17 CFR 270.10f-3) under the Investment Company Act of 1940. Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate		Migrated

ICR Details

OMB Control No: 3235-0226	ICR Reference No: 200012-3235-002
Status: Historical Inactive	Previous ICR Reference No: 199904-3235-014
Agency/Subagency: SEC	Agency Tracking No:
Title: Rule 10f-3 (17 CFR 270.10f-3) under the Investment Company Act of 1940. Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 03/09/2001
	Date Received in OIRA: 12/07/2000
Terms of Clearance: In accordance with 5 CFR 1320, the agency shall re-submit the inf ormation collection and provide a summary of all comments related to the information collection to OMB prior to publication of the final rule.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2002	03/31/2004	06/30/2002
Responses	300	0	300
Time Burden (Hours)	565	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 10f-3 permits, under certain conditions, a fund to purchase securities from underwriting syndicates whose members include affiliated persons of the purchasing fund. Records concerning transaction in reliance on the rule and reviews of these transactions, by a fund's board of directors, must be maintained.

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Rule 10f-3 (17 CFR 270.10f-3) under the Investment Company Act of 1940. Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate

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Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 12/07/2000

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