Rule 27e-1 [17 CFR Sec. 270.27e-1] and Form N-27E-1 [17 CFR 274.127e-1]

Forms and Documents

Document Name	Status
Form SEC-1928 Rule 27e-1 1 [17 C.F.R. Sec. 270.27e-1] "Requirements for Notice to Be Mailed to Certain Purchasers of Periodic Payment Plan Certificates Sold Subject to Section 27(d) of the Act" and Form Form	Modified
17cfr270 27e-1.pdf Supplementary Document	2006-09-11
17cfr274 127e-1.pdf Supplementary Document	2006-09-11
SEC1928(N-27E-1).pdf Supplementary Document	2006-09-11
Rule 27e-1 SS.doc Supporting Statement A	2006-09-11

IC Document Collections

IC ID	Document Title	Status
35362	Rule 27e-1 1 [17 C.F.R. Sec. 270.27e-1] "Requirements for Notice to Be Mailed to Certain Purchasers of Periodic Payment Plan Certificates Sold Subject to Section 27(d) of the Act" and Form Form	Modified

ICR Details

OMB Control No: 3235-0545	ICR Reference No: 200608-3235-007
Status: Historical Active	Previous ICR Reference No: 200309-3235-009
Agency/Subagency: SEC	Agency Tracking No: 270-486
Title: Rule 27e-1 [17 CFR Sec. 270.27e-1] and Form N-27E-1 [17 CFR 274.127e-1]
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 11/07/2006
	Date Received in OIRA: 09/11/2006
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2009	36 Months From Approved	12/31/2006
Responses	5,054	0	2,965
Time Burden (Hours)	1	0	1
Cost Burden (Dollars)	3,184	0	1,000

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Abstract: Rule 27e-1 provides instructions for the notice required by section 27(e) of the Investment Company Act of 1940 to purchasers of periodic payment plans who have missed certain payments within 18 months after the issuance of the certificate. Form N-27E-1 is the form used by issuers to provide the notice under Rule 27e-1.

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Authorizing Statute(s): US Code: 15 USC 80a-27(e) Name of Law: Investment Company Act of 1940; Periodic Payment Plans
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	71 FR 41484	07/21/2006
30-day Notice:	Federal Register Citation:	Citation Date:
	71 FR 53483	09/11/2006
Did the Agency receive public comments on this ICR? No

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

IC Title	Form No.	Form Name
Rule 27e-1 1 [17 C.F.R. Sec. 270.27e-1] "Requirements for Notice to Be Mailed to Certain Purchasers of Periodic Payment Plan Certificates Sold Subject to Section 27(d) of the Act" and Form	SEC-1928	Form N-27E-1

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ICR Summary of Burden

	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	5,054	2,965	0	0	2,089	0
Annual Time Burden (Hours)	1	1	0	0	0	0
Annual Cost Burden (Dollars)	3,184	1,000	0	0	2,184	0

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

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: 09/11/2006

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