Rule 31a-1 imposes requirements concerning records to be maintained by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions w/R IC.

Rule 31a-1 under the Investment Company Act of 1940 [17 CFR 270.31a-1], Records to be maintained by registered investment companies, certain majority-owned subsidiaries thereof, and other

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0178 can be found here:

Documents and Forms

Document Name Document Type

no available documents/forms check other ICs listed under this ICR

Information Collection (IC) Details

IC Title:	Rule 31a-1 imposes requirements concerning records to be maintained by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions w/R IC.	Agency IC Tracking Number:	270-173

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 270.31a-1

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 4,218	Number of Respondents for Small Entity: 185

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	4,218	-403	4,621
Annual IC Time Burden (Hours)	2,952,600	-282,100	3,234,700
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

Title	Document	Date Uploaded
No associated records found

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.