Investment Company Act rule 15a-5, 17 C.F.R. Sec. 270.15a-5, Exemption from shareholder approval for certain subadvisory contracts.

ICR 200609-3235-012

OMB: 3235-0587

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2006-10-26
Supporting Statement A
2006-10-26
IC Document Collections
IC ID
Document
Title
Status
35445
Modified
ICR Details
3235-0587 200609-3235-012
Historical Inactive 200310-3235-020
SEC 270-527
Investment Company Act rule 15a-5, 17 C.F.R. Sec. 270.15a-5, Exemption from shareholder approval for certain subadvisory contracts.
Extension without change of a currently approved collection   No
Regular
Preapproved 12/29/2006
Retrieve Notice of Action (NOA) 11/06/2006
  Inventory as of this Action Requested Previously Approved
12/31/2009 36 Months From Approved 07/31/2007
414 0 347
3,862 0 3,232
0 0 0

The Commission is proposing new rule 15a-5 under the Investment Company Act to permit, under certain conditions, an investment adviser to serve as a subadviser to an investment company without approval by shareholders of the investment company. The rule would largely codify a number of exemptive orders that have permitted one or more subadvisers to manage an investment company's assets subject to the supervision of an investment adviser whose advisory contract has been approved by the company's shareholders.

US Code: 15 USC 80a Name of Law: Investment Company Act of 1940
  
None

3235-AH80 Proposed rulemaking 68 FR 61720 10/29/2003

  71 FR 51867 08/31/2006
71 FR 64748 11/03/2006
No

1
IC Title Form No. Form Name
Investment Company Act Rule 15a-5

  Total Request 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 414 347 0 0 67 0
Annual Time Burden (Hours) 3,862 3,232 0 0 630 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
Adam Glazer 202 551-6792

  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.
11/06/2006


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