Rule 30b1-9 and Form N-PORT

Forms and Documents

Document	Type	Status	Availability
Form SEC (UNKNOWN) Form N-PORT	Form and Instruction	Modified	Available
EDGAR PIA 2016 (1).pdf	Supplementary Document	Uploaded 2017-05-23	Repair queued
Form N-PORT Supporting Statement revised.pdf	Supporting Statement A	Uploaded 2017-05-30	Available
81 FR 82142 - Form N-Port.pdf	Supplementary Document	Uploaded 2017-01-24	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
217463	Form N-PORT	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0730	ICR Reference No: 201611-3235-028
Status: Historical Active	Previous ICR Reference No: 201507-3235-004
Agency/Subagency: SEC	Agency Tracking No: 270-776
Title: Rule 30b1-9 and Form N-PORT
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 08/23/2017
	Date Received in OIRA: 01/24/2017
Terms of Clearance: Updated during review.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2019	36 Months From Approved
Responses	136,584	0	0
Time Burden (Hours)	1,803,826	0	0
Cost Burden (Dollars)	103,776,240	0	0

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Abstract: Rule 30b1-9 requires certain registered investment companies to file portfolio holdings reports on Form N-PORT(17 CFR 274.150) on a monthly basis with the Commission.

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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:
3235-AL42	Final or interim final rulemaking	81 FR 82257	11/18/2016

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Federal Register Notices & Comments

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-PORT	SEC (UNKNOWN)	FORM N-PORT

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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	136,584	0	0	0	136,584	0
Annual Time Burden (Hours)	1,803,826	0	0	0	1,803,826	0
Annual Cost Burden (Dollars)	103,776,240	0	0	0	103,776,240	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: Not applicable. This is the first request for approval of the collection of information for this rule and form.

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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: 01/24/2017

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