Rule 34b-1 (17 CFR 270.34b-1) under the Investment Company Act of 1940, Sales Literature Deemed to be Misleading.

ICR 201111-3235-030

OMB: 3235-0346

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2011-11-21
ICR Details
3235-0346 201111-3235-030
Historical Active 200808-3235-009
SEC IM-270-305
Rule 34b-1 (17 CFR 270.34b-1) under the Investment Company Act of 1940, Sales Literature Deemed to be Misleading.
Extension without change of a currently approved collection   No
Regular
Approved without change 12/27/2011
Retrieve Notice of Action (NOA) 11/21/2011
  Inventory as of this Action Requested Previously Approved
12/31/2014 36 Months From Approved 03/31/2012
12,433 0 13,001
29,964 0 31,332
0 0 0

Rule 34b-1 deems to be materially misleading any investment company sales literature that includes any information purporting to show the investment performance of the fund unless the sales literature also includes standardized performance data.

US Code: 15 USC 80a-33(b) Name of Law: Investment Company Act
  
None

Not associated with rulemaking

  76 FR 54815 09/02/2011
76 FR 69307 11/08/2011
No

1
IC Title Form No. Form Name
Rule 34b-1 (17 CFR 270.34b-1) under the Investment Company Act of 1940, Sales Literature Deemed to be Misleading.

  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 12,433 13,001 0 -568 0 0
Annual Time Burden (Hours) 29,964 31,332 0 -1,368 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
Yes
Miscellaneous Actions
The Commission estimates that on average approximately 3,525 respondents file responses that include information required by rule 34b-1 each year. The Commission further estimates that this information collection imposes a burden of 2.41 hours which results in a total annual time burden of 29,964 hours, representing a decrease of 1,368 hours per year. The decrease in burden hours for complying with rule 34b-1 is attributable to a decrease in the number of estimated responses from 13,001 to 12,433 since the Commission's previous estimate. The Commission continues to estimate that there is no external cost burden associated with the rule.

$0
No
No
No
No
No
Uncollected
Alberto Zapata 202 551-6944

  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.
11/21/2011


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