Rule 7d-2 (17 CFR 270.7d-2) under the Investment Company Act of 1940, Definition of "public offering" as used in section 7(d) of the Act with respect to certain Canadian tax-deferred

ICR 201603-3235-005

OMB: 3235-0527

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2016-07-06
IC Document Collections
IC ID
Document
Title
Status
35323
Modified
ICR Details
3235-0527 201603-3235-005
Historical Active 201308-3235-009
SEC IM-270-464
Rule 7d-2 (17 CFR 270.7d-2) under the Investment Company Act of 1940, Definition of "public offering" as used in section 7(d) of the Act with respect to certain Canadian tax-deferred
Extension without change of a currently approved collection   No
Regular
Approved without change 11/03/2016
Retrieve Notice of Action (NOA) 07/06/2016
  Inventory as of this Action Requested Previously Approved
11/30/2019 36 Months From Approved 12/31/2016
474 0 429
79 0 72
0 0 0

Rule 7d-2 requires written offering materials for any securities issued by an investment company that is not registered under the Investment Company Act of 1940 in reliance on the rule to disclose that (i) the securities are not registered with U.S. Securities and Exchange Commission and may not be offered or sold in the United States unless registered or exempt from registration, and (ii) the investment company that issued the securities is not registered with the U.S. Securities and Exchange Commission.

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

Not associated with rulemaking

  81 FR 15358 03/22/2016
81 FR 34403 05/31/2016
No

1
IC Title Form No. Form Name
Canadian Securities Disclosure

  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 474 429 0 0 45 0
Annual Time Burden (Hours) 79 72 0 0 7 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The burden hours for rule 7d-2 increased from 71.5 hours to 79 hours based on an increase in the estimated number of funds that may rely on the rule.

$0
No
No
No
No
No
Uncollected
Daniel Chang 2025516792 [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.
07/06/2016


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