Rule 18f-3 (17 CFR 270.18f-3) under the Investment Company Act of 1940, Multiple class companies

ICR 201409-3235-044

OMB: 3235-0441

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2014-12-08
ICR Details
3235-0441 201409-3235-044
Historical Active 201111-3235-026
SEC IM-270-385
Rule 18f-3 (17 CFR 270.18f-3) under the Investment Company Act of 1940, Multiple class companies
Extension without change of a currently approved collection   No
Regular
Approved without change 03/25/2015
Retrieve Notice of Action (NOA) 12/08/2014
  Inventory as of this Action Requested Previously Approved
03/31/2018 36 Months From Approved 03/31/2015
485 0 510
2,907 0 4,080
0 0 0

Rule 18f-3 permits a registered open-end management investment company to issue multiple classes of shares representing interests in the same portfolio of securities if the fund satisfies the conditions of the rule. Each class must differ in its arrangement for shareholder services or distribution or both. Among other requirements, the fund's board of directors must approve a written plan describing the differences among classes.

US Code: 15 USC 80a Name of Law: Investment Company Act of 1940
  
None

Not associated with rulemaking

  79 FR 33225 06/10/2014
79 FR 50711 08/25/2014
No

1
IC Title Form No. Form Name
Rule 18f-3 (17 CFR 270.18f-3) under the Investment Company Act of 1940, Multiple class companies

  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 485 510 0 0 -25 0
Annual Time Burden (Hours) 2,907 4,080 0 0 -1,173 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The estimated hourly burden associated with rule 18f-3 has decreased from 4,080 hours to 2,907 hours (a decrease of 1,173 hours). The decrease is due to a decrease in estimated number of registrants offering multiple class funds and a decrease in the estimated average hourly burden per registrant.

$0
No
No
No
No
No
Uncollected
James DeLesDernier 202 551-6749 [email protected]

  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.
12/08/2014


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