Form N-3 under the Securities Act of 1933 and under the Investment Company Act of 1940, registration of separate accounts organized as management investment companies.

Forms and Documents

Document Name	Status
Form Form 2124 Form N-3 (17 CFR 239.17a) under the Securities Act of 1933 (17 CFR 274.11b) under the Investment Company Act of 1940. Registration Statement of Separate Accounts Organized as Manag. Invest. Companies Form and Instruction	Modified
Form N-3 Supporting Statement2015.pdf Supporting Statement A	2015-11-10

IC Document Collections

IC ID	Document Title	Status
43001	Form N-3 (17 CFR 239.17a) under the Securities Act of 1933 (17 CFR 274.11b) under the Investment Company Act of 1940. Registration Statement of Separate Accounts Organized as Manag. Invest. Companies Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0316	ICR Reference No: 201505-3235-019
Status: Historical Active	Previous ICR Reference No: 201211-3235-016
Agency/Subagency: SEC	Agency Tracking No: IM 270-281
Title: Form N-3 under the Securities Act of 1933 and under the Investment Company Act of 1940, registration of separate accounts organized as 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: 12/22/2015
	Date Received in OIRA: 11/10/2015
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2018	36 Months From Approved	12/31/2015
Responses	20	0	14
Time Burden (Hours)	3,104	0	2,173
Cost Burden (Dollars)	205,180	0	139,300

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Abstract: Form N-3 is the form separate accounts organized as management investment companies use to register under the Investment Company Act of 1940 [15 U.S.C. 80a-1 et seq.] and to offer their securities under the Securities Act of 1933 [15 U.S.C. 77a et seq.]. 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 80a-8 Name of Law: Investment Company Act of 1940
   US Code: 15 USC 77e Name of Law: Securities Act of 1933
  

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:
	80 FR 30304	05/27/2015
30-day Notice:	Federal Register Citation:	Citation Date:
	80 FR 45694	07/31/2015
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-3 (17 CFR 239.17a) under the Securities Act of 1933 (17 CFR 274.11b) under the Investment Company Act of 1940. Registration Statement of Separate Accounts Organized as Manag. Invest. Companies	Form 2124	Form N-3

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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	20	14	0	0	6	0
Annual Time Burden (Hours)	3,104	2,173	0	0	931	0
Annual Cost Burden (Dollars)	205,180	139,300	0	0	65,880	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: Annual Hour Burden. Currently, the approved annual hour burden for preparing and filing registration statements on Form N-3 is 2172.8 hours based on the previous estimate of 14 responses per year. The new estimate of the total annual hour burden is 3104 hours based on the new estimate of 20 responses per year. The increase in the total annual hour burden is 931.2 hours. This increase is due to the increase in our estimates of the annual number of responses for both initial and post-effective amendments. Total Cost Burden. The current approved total cost burden for preparing and filing registration statements on Form N-3 is $139,300, based on the previous estimate of 14 responses per year. Based on the new estimate of 20 responses per year, the new estimate of the total cost burden is $205,180 in external costs per year, resulting in an increase of $65,880 per year. This increase is due to the increase in our estimates of the annual number of responses for both initial and post-effective amendments.

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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: 11/10/2015

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