Rule 30e-1 under the Investment Company Act of 1940, Reports to Stockholders of Management Companies

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Rule 30e-1 Supporting Statement -.pdf	Supporting Statement A	Uploaded 2016-12-22	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34063	Rule 30e-1 under the Investment Company Act of 1940, Reports to Stockholders of Management Companies		Modified

ICR Details

OMB Control No: 3235-0025	ICR Reference No: 201612-3235-016
Status: Historical Active	Previous ICR Reference No: 201507-3235-001
Agency/Subagency: SEC	Agency Tracking No: IM-270-021
Title: Rule 30e-1 under the Investment Company Act of 1940, Reports to Stockholders of Management 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: 03/02/2017
	Date Received in OIRA: 12/22/2016
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2020	36 Months From Approved	07/31/2017
Responses	23,718	0	21,500
Time Burden (Hours)	1,043,592	0	935,049
Cost Burden (Dollars)	368,352,399	0	333,905,750

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Abstract: Rule 30e-1 under the Investment Company Act generally requires a registered management company (“fund”) to transmit to its shareholders, at least semi-annually, a report containing the information that is required to be included in such reports by the fund’s registration statement form under the Investment Company Act.

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Authorizing Statute(s): US Code: 15 USC 80a-29(e) Name of Law: Investment Company Act of 1940
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 124 Name of Law: Dodd Frank Wall Street Reform and Consumer Protection Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AL42	Final or interim final rulemaking	81 FR 81870	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

table that charts list of burden

IC Title	Form No.	Form Name
Rule 30e-1 under the Investment Company Act of 1940, Reports to Stockholders of Management Companies

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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	23,718	21,500	0	0	2,218	0
Annual Time Burden (Hours)	1,043,592	935,049	0	0	108,543	0
Annual Cost Burden (Dollars)	368,352,399	333,905,750	0	0	34,446,649	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 estimates represent an increase from 935,049 hours to 1,043,592 hours in internal burden and an increase from $333,905,750 to $368,352,399 in external costs per year. The increase in internal burden hours is due to both the increase in the number of portfolios estimated to respond to rule 30e-1, the increased burden of our amendments to Regulation S-X, and the inapplicability of one-time hour burdens that were associated with amendments to Forms N-1A, N-2 and N-3. The increase in external costs per year is also due to the increase in the number of portfolios estimated to respond to rule 30e-1.

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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: 12/22/2016

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