Notice of Exempt Preliminary Roll-Up Communication

ICR 201609-3235-005

OMB: 3235-0452

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2016-09-22
Supplementary Document
2016-09-21
IC Document Collections
IC ID
Document
Title
Status
35130
Modified
ICR Details
3235-0452 201609-3235-005
Historical Active 201305-3235-010
SEC CF-270-396
Notice of Exempt Preliminary Roll-Up Communication
Extension without change of a currently approved collection   No
Regular
Approved without change 11/22/2016
Retrieve Notice of Action (NOA) 09/23/2016
  Inventory as of this Action Requested Previously Approved
11/30/2019 36 Months From Approved 11/30/2016
4 0 4
1 0 1
0 0 0

A Notice of Exempt Preliminary Roll-Up Communication provides information regarding ownership interests and any potential conflicts of interest to be included in statements submitted by or on behalf of a person pursuant to Rule 14a-2(b)(4) and Rule 14a-6(n).

US Code: 15 USC 77s Name of Law: Securities Act of 1933
   US Code: 15 USC 78l, 78n, 78w(a) Name of Law: Securities Exchange Acto of 1934
  
None

Not associated with rulemaking

  81 FR 37231 06/09/2016
81 FR 64560 09/21/2016
No

1
IC Title Form No. Form Name
Notice of Exempt Preliminary Roll-Up Communication

  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 4 4 0 0 0 0
Annual Time Burden (Hours) 1 1 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$1,000
No
No
No
No
No
Uncollected
Sean Harrison 202 942-2910

  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.
09/23/2016


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