Form N-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC2052 Form N-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies	Form and Instruction	Modified	Available
pia-edgar.pdf	Supplementary Document	Uploaded 2017-04-18	Available
161118_PRA_Form N-1A Supporting Statement [2017-05-03].docx	Supporting Statement A	Uploaded 2017-05-08	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34809	Form N-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0307	ICR Reference No: 201611-3235-026
Status: Historical Active	Previous ICR Reference No: 201408-3235-020
Agency/Subagency: SEC	Agency Tracking No: IM 270-021
Title: Form N-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 05/25/2017
	Date Received in OIRA: 01/24/2017
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2020	36 Months From Approved	02/28/2018
Responses	6,002	0	6,002
Time Burden (Hours)	1,596,749	0	1,579,974
Cost Burden (Dollars)	129,338,408	0	124,820,197

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Abstract: Form N-1A is the form used by open-end management investment companies, except small business investment companies and insurance company separate accounts, to register under the Investment Company Act of 1940 and to register their securities under the Securities Act of 1933. 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:
3235-AL61	Final or interim final rulemaking	81 FR 82142	11/18/2016

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? Yes

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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-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies	SEC2052	Form N-1A

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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	6,002	6,002	0	0	0	0
Annual Time Burden (Hours)	1,596,749	1,579,974	0	0	16,775	0
Annual Cost Burden (Dollars)	129,338,408	124,820,197	0	0	4,518,211	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 total annual hour burden of 1,596,749 hours represents an increase of 16,775 hours over the previous burden hour estimate of 1,579,974 hours. In addition, the annual external cost burden of $129,338,408 represents an increase of $4,518,211 over the previous annual external cost burden estimate of $124,820,197. The changes in burden hours and external cost burdens are due to the staff’s estimates of the collective time costs and external costs that would result from our adopted amendments to Form N-1A requiring certain disclosures regarding securities lending activities, liquidity risk management, and the use of swing pricing.

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Annual Cost to Federal Government: $19,800,000

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? Yes

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: 01/24/2017

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