Form N-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies

ICR 200911-3235-023

OMB: 3235-0307

Federal Form Document

ICR Details
3235-0307 200911-3235-023
Historical Inactive 200901-3235-008
SEC CF-270-21
Form N-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies
Revision of a currently approved collection   No
Regular
Preapproved 01/29/2010
Retrieve Notice of Action (NOA) 12/08/2009
Pre-approval contingent upon no substantive changes to this collection after adoption of the final rule. Otherwise this collection should be re-submitted to OMB for review.
  Inventory as of this Action Requested Previously Approved
01/31/2013 36 Months From Approved 04/30/2012
1,935 0 8,752
1,247,138 0 1,242,784
86,268,020 0 81,043,520

Form N-1A is the form used by open-end management investment companies and insurance company separate accounts to register under the investment Company Act of 1940 and to register their securities under the Securities Act of 1933. The SEC uses the information filed in registration statements to verify compliance with the federal securities laws.

US Code: 15 USC 78l, 78m, 78n, 78o(d), 78w(a) Name of Law: Securiteis Exchange Act of 1934
   US Code: 15 USC 80a-8, 80a-20(a), 80a-24(a) Name of Law: Investment Company Act of 1940
   US Code: 15 USC 80a-29, 80a-38 Name of Law: Investment Company Act of 1940
   US Code: 15 USC 77c(b), 77e, 77f, 77s(a) Name of Law: Securities Act of 1933
  
None

3235-AK28 Proposed rulemaking 74 FR 35076 07/17/2009

No

  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 1,935 8,752 0 0 -6,817 0
Annual Time Burden (Hours) 1,247,138 1,242,784 0 4,354 0 0
Annual Cost Burden (Dollars) 86,268,020 81,043,520 0 5,224,500 0 0
Yes
Changing Regulations
No
The amendments proposed in Release No. 33-9052 would require additional disclosure regarding compensation policies and corporate governance, and facilitate shareholder communications relating to voting and investment decisions. The increase in the burden associated with Form N-1A is necessary in order to enhance the transparency of director and nominee qualifications, board leadership structure, and the board’s oversight of risk. The proposal will result in an increase of 4,354 burden hours and an increase in the cost burden of $5,224,500 for services of outside professionals. For a more detailed discussion, please refer to the supporting statement.

$75,000
No
No
Uncollected
Uncollected
No
Uncollected
Marc Sharma 2025516784 [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.
12/08/2009


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