Rule 17g-1 (17 CFR 270.17g-1) under the Investment Company Act of 1940: Bonding of Officers and Employees of Registered Management Investment Companies

ICR 200902-3235-002

OMB: 3235-0213

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2009-08-06
ICR Details
3235-0213 200902-3235-002
Historical Active 200608-3235-001
SEC IM-270-208
Rule 17g-1 (17 CFR 270.17g-1) under the Investment Company Act of 1940: Bonding of Officers and Employees of Registered Management Investment Companies
Extension without change of a currently approved collection   No
Regular
Approved without change 08/17/2009
Retrieve Notice of Action (NOA) 06/08/2009
  Inventory as of this Action Requested Previously Approved
08/31/2012 36 Months From Approved 11/30/2009
3,885 0 4,033
7,770 0 4,033
0 0 0

Rule 17g-1 provides the fidelity bonding requirement for registered management investment companies.

US Code: 15 USC 80a-17(g) Name of Law: Investment Company Act of 1940
  
None

Not associated with rulemaking

  74 FR 13274 03/26/2009
74 FR 27203 06/08/2009
No

  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 3,885 4,033 0 0 -148 0
Annual Time Burden (Hours) 7,770 4,033 0 0 3,737 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The change in estimated total annual burden hours from 4033 hours to 7770 hours (or an increase of 3737 hours) is based on the staff’s revised estimate of the time the board of directors spends to comply with rule 17g-1, which was inadvertently omitted in the previous filing, as well as a change in the number of active funds registered with the Commission (from 4033 to 3885).

$0
No
No
Uncollected
Uncollected
No
Uncollected
Thoreau Bartmann 202 551-6792 [email protected]

  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.
06/08/2009


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