Form N-2 under the Investment Company Act of 1940 and Securities Act of 1933, Registration Statement of Closed-End Management Investment Companies

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC 1716 Form N-2	Form and Instruction	Modified	Available
EDGAR PIA_Redacted.pdf	Supplementary Document	Uploaded 2013-11-22	Available
130809 _ N-2 Supporting Statement.pdf	Supporting Statement A	Uploaded 2013-11-21	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
42936	Form N-2	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0026	ICR Reference No: 201311-3235-007
Status: Historical Active	Previous ICR Reference No: 201102-3235-034
Agency/Subagency: SEC	Agency Tracking No: IM-270-021
Title: Form N-2 under the Investment Company Act of 1940 and Securities Act of 1933, Registration Statement of Closed-End Management 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: 01/21/2014
	Date Received in OIRA: 12/11/2013
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2017	36 Months From Approved	03/31/2014
Responses	191	0	205
Time Burden (Hours)	86,533	0	87,097
Cost Burden (Dollars)	5,488,048	0	4,287,200

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Abstract: Form N-2 is the registration statement used by closed-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 77f 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:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 52808	08/26/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 65718	11/01/2013
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Form N-2	SEC 1716	Form N-2

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ICR Summary of Burden

table that charts list 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	191	205	0	0	-14	0
Annual Time Burden (Hours)	86,533	87,097	0	0	-564	0
Annual Cost Burden (Dollars)	5,488,048	4,287,200	0	0	1,200,848	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: Currently, the approved annual time burden for preparing and filing registration statements on Form N-2 is 87,097 hours based on the previous estimate of 205 responses. The new estimate of the total hour burden is 86,533 hours based on the new estimated total number of responses of 191. The decrease in the total annual hour burden is 564 hours. This decrease is attributable to a decrease in the number of Form N-2 filings.

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Annual Cost to Federal Government:

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: 12/11/2013

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