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

ICR 201210-3235-003

OMB: 3235-0169

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2012-10-11
ICR Details
3235-0169 201210-3235-003
Historical Active 200910-3235-002
SEC IM-270-172
Form N-5, registration statement of small business investment companies under the Securities Act of 1933 and the Investment Company Act of 1940.
Extension without change of a currently approved collection   No
Regular
Approved without change 11/26/2012
Retrieve Notice of Action (NOA) 10/12/2012
  Inventory as of this Action Requested Previously Approved
11/30/2015 36 Months From Approved 02/28/2013
1 0 1
117 0 352
10,000 0 26,000

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.

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
  
None

Not associated with rulemaking

  77 FR 46774 08/06/2012
77 FR 62272 10/12/2012
No

  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
No
No
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).

$0
No
No
No
No
No
Uncollected
Thoreau Bartmann 202 551-6792 [email protected]

  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.
10/12/2012


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