Rule 38a-1 requires registered
investment companies and business development companies to adopt
and implement compliance policies and procedures, to review those
policies and procedures annually, and to maintain certain
records.
US Code:
15 USC 80a-30(a) Name of Law: Investment Company Act of 1940:
Maintenance of Records
US Code:
15 USC 80a-37(a) Name of Law: Investment Company Act of 1940:
Powers of Commission
The Commission proposed to
require a funds board of directors to develop procedures to ensure
that at the time a repurchase agreement is entered into the
securities collateralizing the repurchase agreement meet the
requirements for collateral outlined in the amendments to the
proposed rule.
$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
Vincent Meehan 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.