The agency must
ensure that it accurately reports the information collection burden
imposed on small entities.
Inventory as of this Action
Requested
Previously Approved
08/31/2010
36 Months From Approved
08/31/2007
113,970
0
102,230
169,950
0
243,884
1,100,000
0
845,000
Rule 17j-1 requires investment
companies and their investment advisers and principal underwriters
to establish codes of ethics to prevent affiliated persons from
engaging in fraudulent practices and requires these persons to file
reports with their employers with respect to their personal
securities transactions.
US Code:
15
USC 80a-17j Name of Law: Investment Company Act of 1940
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.