Investment Company Act rule 38a-1, 17 C.F.R. Sec. 270.38a-1, Compliance procedures and practices of registered investment companies.

ICR 201211-3235-031

OMB: 3235-0586

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2012-12-17
ICR Details
3235-0586 201211-3235-031
Historical Active 201002-3235-028
SEC IM-270-522
Investment Company Act rule 38a-1, 17 C.F.R. Sec. 270.38a-1, Compliance procedures and practices of registered investment companies.
Extension without change of a currently approved collection   No
Regular
Approved without change 02/25/2013
Retrieve Notice of Action (NOA) 01/07/2013
  Inventory as of this Action Requested Previously Approved
02/29/2016 36 Months From Approved 05/31/2013
4,237 0 4,638
248,455 0 254,703
0 0 0

Rule 38a-1 requires registered investment companies and business development companies to adopt and implement compliance policies and procedures, to review those policies and procedures annually, and to maintain certain records.

US Code: 15 USC 80a-37(a) Name of Law: Investment Company Act of 1940: Powers of Commission
   US Code: 15 USC 80a-30(a) Name of Law: Investment Company Act of 1940: Maintenance of Records
  
None

Not associated with rulemaking

  77 FR 64367 10/19/2012
77 FR 76098 12/26/2012
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 4,237 4,638 0 -401 0 0
Annual Time Burden (Hours) 248,455 254,703 0 -6,248 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
Yes
Miscellaneous Actions
The estimated total annual time burden decreased 6,248 hours, from 254,703 hours to 248,455 hours. This decrease in hours is attributable to a decrease in the number of funds subject to rule 38a-1.

$0
No
No
No
No
No
Uncollected
Amanda Wagner 202 551-6762

  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.
01/07/2013


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