Form N-SAR under the Investment Company Act of 1940, Semi-Annual Report for Registered Investment Companies

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC 2100 Form N-SAR under the Investment Company Act of 1940, Semi-Annual Report for Registered Investment Companies	Form and Instruction	Modified	Available
Form NSAR SUPPORTING STATEMENT 2.pdf	Supporting Statement A	Uploaded 2016-09-23	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34869	Form N-SAR under the Investment Company Act of 1940, Semi-Annual Report for Registered Investment Companies	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0330	ICR Reference No: 201603-3235-001
Status: Historical Active	Previous ICR Reference No: 201307-3235-012
Agency/Subagency: SEC	Agency Tracking No: IM-270-292
Title: Form N-SAR under the Investment Company Act of 1940, Semi-Annual Report for Registered 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: 11/22/2016
	Date Received in OIRA: 09/23/2016
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2019	36 Months From Approved	11/30/2016
Responses	5,564	0	5,770
Time Burden (Hours)	79,064	0	82,223
Cost Burden (Dollars)	0	0	0

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Abstract: Form N-SAR is a reporting form that is to be used for semi-annual and annual reports by all registered investment companies that have filed a registration statement which has become effective pursuant to the Securities Act of 1933 with the exception of face amount certificate companies.

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Authorizing Statute(s): US Code: 15 USC 80a-29 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:
	81 FR 14153	03/16/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 34403	05/31/2016
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-SAR under the Investment Company Act of 1940, Semi-Annual Report for Registered Investment Companies	SEC 2100	Form N-SAR

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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	5,564	5,770	0	0	-206	0
Annual Time Burden (Hours)	79,064	82,223	0	0	-3,159	0
Annual Cost Burden (Dollars)	0	0	0	0	0	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 current approved total annual hour burden for completing reports on Form N-SAR is 82,223 hours. The new estimated annual burden for Form N-SAR is 79,064 hours, which represents a decrease of 3,159 hours per year. This decrease is due to the decrease in the annual number of respondents from 3,270 to 3,168.

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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: 09/23/2016

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