Rule 18f-3 (17 CFR 270.18f-3) under the Investment Company Act of 1940, Multiple class companies

ICR 201708-3235-008

OMB: 3235-0441

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2018-02-23
ICR Details
3235-0441 201708-3235-008
Active 201409-3235-044
SEC IM-270-385
Rule 18f-3 (17 CFR 270.18f-3) under the Investment Company Act of 1940, Multiple class companies
Extension without change of a currently approved collection   No
Regular
Approved without change 04/04/2018
Retrieve Notice of Action (NOA) 02/23/2018
  Inventory as of this Action Requested Previously Approved
04/30/2021 36 Months From Approved 04/30/2018
523 0 485
3,135 0 2,907
0 0 0

Rule 18f-3 permits a registered open-end management investment company to issue multiple classes of shares representing interests in the same portfolio of securities if the fund satisfies the conditions of the rule. Each class must differ in its arrangement for shareholder services or distribution or both. Among other requirements, the fund's board of directors must approve a written plan describing the differences among classes.

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

Not associated with rulemaking

  82 FR 47277 10/11/2017
82 FR 60265 12/19/2017
No

1
IC Title Form No. Form Name
Rule 18f-3 (17 CFR 270.18f-3) under the Investment Company Act of 1940, Multiple class companies

  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 523 485 0 0 38 0
Annual Time Burden (Hours) 3,135 2,907 0 0 228 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The estimated hourly burden associated with rule 18f-3 has increased from 2,907 hours to 3,135 hours (an increase of 228 hours). The increase is due to an increase in the estimated number of multiple class funds being offered by registrants.

$0
No
    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.
02/23/2018


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