Form N-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies

Forms and Documents

Document Name	Status
Form SEC2052 Form N-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies Form and Instruction	Modified
PRA - Form N-1A SUPPORTING STATEMENT (2013).pdf Supporting Statement A	2013-09-03

IC Document Collections

IC ID	Document Title	Status
34809	Form N-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0307	ICR Reference No: 201306-3235-011
Status: Historical Inactive	Previous ICR Reference No: 201211-3235-006
Agency/Subagency: SEC	Agency Tracking No: IM 270-21
Title: Form N-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 09/09/2013
	Date Received in OIRA: 06/24/2013
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR. The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/29/2016	36 Months From Approved	02/29/2016
Responses	6,002	0	6,002
Time Burden (Hours)	1,578,689	0	1,578,689
Cost Burden (Dollars)	122,730,472	0	122,730,472

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Abstract: Form N-1A is the form used by open-end management investment companies, except small business investment companies and insurance company separate accounts, to register under the investment Company Act of 1940 and to register their securities under the Securities Act of 1933. The SEC uses the information filed in registration statements to verify compliance with the federal securities laws.

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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

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK61	Proposed rulemaking	78 FR 36833	06/19/2013

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Federal Register Notices & Comments

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-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies	SEC2052	Form N-1A

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Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: i. Floating NAV Proposal The total annual hour burden of 1,579,596 hours represents an increase of 907 hours over the previous burden hour estimate of 1,578,689 hours. In addition, the annual external cost burden of $123,775,335 represents an increase of $1,044,863 over the previous annual external cost burden estimate of $122,730,472. The changes in burden hours and external cost burdens are due to the staff's estimates of the time costs and external costs that would result from our proposed amendments. ii. Liquidity Fees and Gates Proposal The total annual hour burden of 1,579,696 hours represents an increase of 1,007 hours over the previous burden hour estimate of 1,578,689 hours. In addition, the annual external cost burden of $124,820,197 represents an increase of $2,089,725 over the previous annual external cost burden estimate of $122,730,472. The changes in burden hours and external cost burdens are due to the staff's estimates of the time costs and external costs that would result from our proposed amendments. iii. A Note Regarding the Form 83-I The total annual hour burden of 1,579,646 hours represents an increase of 957 hours over the previous burden hour estimate of 1,578,689 hours. In addition, the annual external cost burden of $124,297,766 represents an increase of $1,567,294 over the previous annual external cost burden estimate of $122,730,472. The changes in burden hours and external cost burdens are due to the staff's estimates of the time costs and external costs that would result from our proposed amendments.

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Annual Cost to Federal Government: $19,800,000

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: 06/24/2013

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