Form N-5, registration statement of small business investment companies under the Securities Act of 1933 and the Investment Company Act of 1940.

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
N-5 Supporting Statement.pdf	Supporting Statement A	Uploaded 2012-10-11	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34489	Form N-5 (17 CFR 239.24) under the Securities Act of 1933 (17 CFR 274.5) and the Investment Company Act of 1940. Registration Statement of Small Business Investment Company.		Modified

ICR Details

OMB Control No: 3235-0169	ICR Reference No: 201210-3235-003
Status: Historical Active	Previous ICR Reference No: 200910-3235-002
Agency/Subagency: SEC	Agency Tracking No: IM-270-172
Title: Form N-5, registration statement of small business investment companies under the Securities Act of 1933 and the Investment Company Act of 1940.
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: 11/26/2012
	Date Received in OIRA: 10/12/2012
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2015	36 Months From Approved	02/28/2013
Responses	1	0	1
Time Burden (Hours)	117	0	352
Cost Burden (Dollars)	10,000	0	26,000

---

Abstract: Form N-5 is the registration statement used by small business investment companies to register under the Investment Company Act and to register their securities for sale to the public under the Securities Act of 1933.

---

Authorizing Statute(s): US Code: 15 USC 77e Name of Law: Securities Act of 1933
   US Code: 15 USC 80a-8 Name of Law: Investment Company Act of 1940
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 46774	08/06/2012
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 62272	10/12/2012
Did the Agency receive public comments on this ICR? No

---

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

table that charts list of burden

IC Title	Form No.	Form Name
Form N-5 (17 CFR 239.24) under the Securities Act of 1933 (17 CFR 274.5) and the Investment Company Act of 1940. Registration Statement of Small Business Investment Company.	SEC-993

---

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	1	1	0	0	0	0
Annual Time Burden (Hours)	117	352	0	0	-235	0
Annual Cost Burden (Dollars)	10,000	26,000	0	0	-16,000	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 estimated annual time burden and cost burden has decreased to reflect the reduced number of Form N-5 filings the Commission has received. Previously, we estimated that the Commission received one Form N-5 filing per year, but we now estimate that we receive one Form N-5 filing every three years. As a result, the average cost and hour burden for the filing has been amortized over a three-year period, resulting in reduced hour estimates of 117 hours per year (down from 352) and cost estimates of $10,000 per year (down from $26,000).

---

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

---

Common Form ICR:  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:

(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: 10/12/2012

---