Form N-14, for the registration of securities under the Securities Act of 1933 issued in business combination transaction by investment companies and business development companies.

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC2106 Form N-14, for the registration of securities under the Securities Act of 1933 issued in business combination transaction by investment companies and business development companies.	Form	Modified	Available
Statutory Authority (to H Fernandez).docx	Supplementary Document	Uploaded 2010-07-09	Available
Supporting Statement (2010-06-22) (To H Fernandez).doc	Supporting Statement A	Uploaded 2010-07-09	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34876	Form N-14, for the registration of securities under the Securities Act of 1933 issued in business combination transaction by investment companies and business development companies.	Form	Modified

ICR Details

OMB Control No: 3235-0336	ICR Reference No: 201007-3235-013
Status: Historical Active	Previous ICR Reference No: 200709-3235-010
Agency/Subagency: SEC	Agency Tracking No: IM-270-297
Title: Form N-14, for the registration of securities under the Securities Act of 1933 issued in business combination transaction by investment companies and business development companies.
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: 10/15/2010
	Date Received in OIRA: 09/08/2010
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2013	36 Months From Approved	02/28/2011
Responses	286	0	375
Time Burden (Hours)	171,920	0	196,050
Cost Burden (Dollars)	7,625,000	0	7,057,800

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Abstract: Form N-14 is the registration statement used by investment companies and business development companies to register under the 1933 Act securities to be issued in mergers and other forms of business combinations. Form N-14 provides investors with material information regarding such securities. The information filed also permits the SEC to verify compliance with securities laws.

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Authorizing Statute(s): US Code: 15 USC 77e Name of Law: Securities Act of 1933
  

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:
	75 FR 38853	07/06/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 54196	09/03/2010
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Form N-14, for the registration of securities under the Securities Act of 1933 issued in business combination transaction by investment companies and business development companies.	SEC2106	Form N-14

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ICR Summary of Burden

table that charts list 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	286	375	0	0	-89	0
Annual Time Burden (Hours)	171,920	196,050	0	0	-24,130	0
Annual Cost Burden (Dollars)	7,625,000	7,057,800	0	0	567,200	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: The decrease in the total annual hour burden of 24,130 hours is due to the decrease in the estimated number of amendments to a registration statement on Form N-14 (each of which has an estimated reporting burden of 350 hours per filing), offset slightly by the small increase in the estimated number of initial filings on Form N 14 (each of which has an estimated reporting burden of 620 hours per filing). The increase in the total annual cost burden of approximately $567,000 is due to an adjustment to the prior cost burden per filing estimates to account for inflation (from $22,320 for preparing and filing an initial registration statement on Form N-14 and $12,600 for preparing and filing an amendment to a registration statement on Form N-14 to $27,500 and $15,500, respectively) and the increase in the estimated number of initial filings on Form N-14, offset slightly by the impact of the decrease in the estimated number of amendments to Form N 14.

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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]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

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: 09/08/2010

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