Form N-8A under the Investment Company Act of 1940: Notification of Registration of Investment Companies

Forms and Documents

Document	Type	Status	Availability
Form SEC 1102 Form N-8A under the Investment Company Act of 1940: Notification of Registration of Investment Companies	Form and Instruction	Modified	Available
PRA - Form N-8A - Supporting Statement (2012).pdf	Supporting Statement A	Uploaded 2013-01-07	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
34498	Form N-8A under the Investment Company Act of 1940: Notification of Registration of Investment Companies	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0175	ICR Reference No: 201211-3235-026
Status: Historical Active	Previous ICR Reference No: 200910-3235-003
Agency/Subagency: SEC	Agency Tracking No: IM-270-135
Title: Form N-8A under the Investment Company Act of 1940: Notification of Registration of Investment Companies
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: 02/25/2013
	Date Received in OIRA: 01/14/2013
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/29/2016	36 Months From Approved	03/31/2013
Responses	130	0	105
Time Burden (Hours)	130	0	105
Cost Burden (Dollars)	57,590	0	43,800

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Abstract: Form N-8A is the form used by investment companies to file notifications of registrations with the Commission under the Investment Company Act of 1940.

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Authorizing Statute(s): US Code: 15 USC 80a-8(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:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 65233	10/25/2012
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 2699	01/14/2013
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-8A under the Investment Company Act of 1940: Notification of Registration of Investment Companies	SEC 1102	Form N-8A

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ICR Summary 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	130	105	0	0	25	0
Annual Time Burden (Hours)	130	105	0	0	25	0
Annual Cost Burden (Dollars)	57,590	43,800	0	0	13,790	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 change in the estimate of annual time burden for Form N-8A from the previous submission is due to an increase in the number of respondents. The number of respondents has increase from 105 to 130, resulting in an increase of 25 burden hours. The change in the estimate of the total annual cost burden from the previous submission is due to the increase in the number of respondents, together with a change in the estimated per filing cost of outside services used in preparing and filing Form N-8A. The estimated per filing cost of outside services used in preparing and filing Form N-8A increased from $417 per filing to $443 per filing. The total annual cost burden increase from $43,800 to approximately $57,590, which reflects the increase in the number of respondents as well as the increased estimated cost of outside services used in preparing and filing Form N-8A.

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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

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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: 01/14/2013

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