Form N-3 under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of separate accounts organized as management investment companies

Forms and Documents

Document Name	Status
Form SEC-2124 Form N-3 (17 CFR 239.17a) under the Securities Act of 1933 (17 CFR 274.11b) under the Investment Company Act of 1940. Registration Statement of Separate Accounts Organized as Manag. Invest. Companies Form and Instruction	Modified
Supporting Statement.doc Supporting Statement A	2010-08-05

IC Document Collections

IC ID	Document Title	Status
43001	Form N-3 (17 CFR 239.17a) under the Securities Act of 1933 (17 CFR 274.11b) under the Investment Company Act of 1940. Registration Statement of Separate Accounts Organized as Manag. Invest. Companies Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0316	ICR Reference No: 201008-3235-011
Status: Historical Inactive	Previous ICR Reference No: 201002-3235-010
Agency/Subagency: SEC	Agency Tracking No: IM-270-281
Title: Form N-3 under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of separate accounts organized as management investment companies
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Preapproved	Conclusion Date: 10/05/2010
	Date Received in OIRA: 08/05/2010
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2013	36 Months From Approved	03/31/2013
Responses	31	0	17
Time Burden (Hours)	13,033	0	13,024
Cost Burden (Dollars)	603,400	0	601,400

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Abstract: Form N-3 is the form separate accounts organized as management investment companies use to register under the Investment Company Act of 1940 and to offer 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.

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Authorizing Statute(s): 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
   US Code: 15 USC 80a-8,80a-20(a), 80a-24(a) 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:
3235-AJ94	Proposed rulemaking	75 FR 47064	08/04/2010

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Federal Register Notices & Comments

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
Form N-3 (17 CFR 239.17a) under the Securities Act of 1933 (17 CFR 274.11b) under the Investment Company Act of 1940. Registration Statement of Separate Accounts Organized as Manag. Invest. Companies	SEC-2124	Form N-3

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ICR Summary of Burden

	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	31	17	0	0	14	0
Annual Time Burden (Hours)	13,033	13,024	0	9	0	0
Annual Cost Burden (Dollars)	603,400	601,400	0	2,000	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Form N-3 has a current burden hour inventory of 13,024 hours. As a result of the proposed amendments, the total hour burden for preparing and filing Form N-3 would increase by 9 hours to a new annual burden of 13,033 hours. The current estimated cost burden allocated to Form N-3 is $601,400. As a result of the proposed amendments, the total cost burden for preparing and filing Form N-3 would increase by $2000 to a new annual cost burden of $603,400.

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Annual Cost to Federal Government:

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]? 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: 08/05/2010

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