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

Forms and Documents

Document	Type	Status	Availability
Form SEC1928 Rule 27e-1 1 [17 C.F.R. Sec. 270.27e-1]...	Form	Modified	Available
17cfr270 27e-1.pdf	Supplementary Document	Uploaded 2006-09-11	Available
17cfr274 127e-1.pdf	Supplementary Document	Uploaded 2006-09-11	Available
SEC1928(N-27E-1).pdf	Supplementary Document	Uploaded 2006-09-11	Available
Rule 27e-1 Support.doc	Supporting Statement A	Uploaded 2009-08-06	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
35362	Rule 27e-1 1 [17 C.F.R. Sec. 270.27e-1]...	Form	Modified

ICR Details

OMB Control No: 3235-0545	ICR Reference No: 200903-3235-013
Status: Historical Active	Previous ICR Reference No: 200608-3235-007
Agency/Subagency: SEC	Agency Tracking No: IM-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: 08/21/2009
	Date Received in OIRA: 06/08/2009
Terms of Clearance: OMB approves the information collection, given that by the end of the year SEC is expected to discontinue the information collection once the Commission formally rescinds the authorizing rule.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2010	36 Months From Approved	11/30/2009
Responses	1	0	5,054
Time Burden (Hours)	1	0	1
Cost Burden (Dollars)	0	0	3,184

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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
  

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:
	74 FR 14174	03/30/2009
30-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 27207	06/08/2009
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]...	SEC1928	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	1	5,054	0	-5,053	0	0
Annual Time Burden (Hours)	1	1	0	0	0	0
Annual Cost Burden (Dollars)	0	3,184	0	-3,184	0	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)? No

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: 06/08/2009

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