Rule 11a-3 under the Investment Company Act of 1940 - Offers of Exchange by Open-End Investment Companies Other Than Separate Accounts.

ICR 201712-3235-006

OMB: 3235-0358

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2018-05-24
ICR Details
3235-0358 201712-3235-006
Active 201501-3235-001
SEC IM-270-321
Rule 11a-3 under the Investment Company Act of 1940 - Offers of Exchange by Open-End Investment Companies Other Than Separate Accounts.
Extension without change of a currently approved collection   No
Regular
Approved without change 07/09/2018
Retrieve Notice of Action (NOA) 05/24/2018
  Inventory as of this Action Requested Previously Approved
07/31/2021 36 Months From Approved 07/31/2018
482 0 490
642 0 654
0 0 0

Rule 11a-3 is an exemptive rule that permits open-end investment companies and their principal underwriters to make certain offers of exchange to the investment company's shareholders and shareholders of other open-end investment companies within the same group of investment companies provided certain conditions are met.

US Code: 17 USC 80a-11(a) Name of Law: Investment Company Act of 1940
  
None

Not associated with rulemaking

  83 FR 2248 01/16/2018
83 FR 13159 03/27/2018
No

  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 482 490 0 0 -8 0
Annual Time Burden (Hours) 642 654 0 0 -12 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The decrease in the estimated total annual burden hours from 654 hours to 642 hours is primarily due to a decrease in the estimated number of active registered open-ended funds. The decrease in the number of annual responses from 490 to 482 is due to a similar decrease in the number of funds registered with the Commission.

$0
No
    No
    No
No
No
No
Uncollected
Amy Miller 202 551-4447

  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.
05/24/2018


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