Rule 7d-1 (17 CFR 270.7d-1) under the Investment Company Act of 1940

Forms and Documents

Document	Type	Status	Availability
Rule 7d-1 SUPPORTING STATEMENT.pdf	Supporting Statement A	Uploaded 2013-07-24	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
34817	Investment Company Act Rule 7d-1		Modified

ICR Details

OMB Control No: 3235-0311	ICR Reference No: 201307-3235-019
Status: Historical Active	Previous ICR Reference No: 201007-3235-012
Agency/Subagency: SEC	Agency Tracking No: IM-270-176
Title: Rule 7d-1 (17 CFR 270.7d-1) under 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: 09/24/2013
	Date Received in OIRA: 08/05/2013
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2016	36 Months From Approved	10/31/2013
Responses	1	0	1
Time Burden (Hours)	8	0	3
Cost Burden (Dollars)	4,000	0	0

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Abstract: Rule 7d-1 specifies the conditions under which a Canadian management investment company may request an order from the Commission permitting it to register under the Investment Company Act of 1940; other foreign management investment companies also generally agree to comply with the requirements of the rule as a prerequisite to receiving a Commission order permitting registration under the Investment Company Act of 1940.

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Authorizing Statute(s): US Code: 15 USC 80a 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:
	78 FR 22919	04/17/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 37600	06/21/2013
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
Investment Company Act Rule 7d-1

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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	1	1	0	0	0	0
Annual Time Burden (Hours)	8	3	0	0	5	0
Annual Cost Burden (Dollars)	4,000	0	0	0	4,000	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 number of 7.75 burden hours reflects an increase of 5 hours from the current allocation. This increase results from adding the burden hours for preparation of a supplemental application filed under rule 7d-1 because the current registrant filed such an application over the past three years. The estimated cost burden has increased from $0 to $4000, an increase of $4000. The increase results from adding the cost burden for preparation of a supplemental application filed under rule 7d-1 because the current registrant filed such an application over the past three years.

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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: 08/05/2013

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