Rule 35d-1 Investment Company Names

ICR 201801-3235-006

OMB: 3235-0548

Federal Form Document

Forms and Documents
Supplementary Document
Supporting Statement A
IC Document Collections
ICR Details
3235-0548 201801-3235-006
Active 201503-3235-008
SEC IM-270-491
Rule 35d-1 Investment Company Names
Extension without change of a currently approved collection   No
Approved without change 01/30/2019
Retrieve Notice of Action (NOA) 08/29/2018
  Inventory as of this Action Requested Previously Approved
01/31/2022 36 Months From Approved 12/31/2018
33 0 32
660 0 640
0 0 0

Rule 35d-1 generally requires that investment companies with certain names invest at least 80% of their assets according to what their name suggests. The rule provides that an affected investment company must either adopt this 80% requirement as a fundamental policy or adopt a policy to provide notice to shareholders at least 60 days prior to any change in its 80% investment policy.

US Code: 15 USC 80a-1 et seq. Name of Law: Investment Company Act of 1940

Not associated with rulemaking

  83 FR 5156 02/05/2018
83 FR 14534 04/04/2018

IC Title Form No. Form Name
Rule 35d-1 under the Investment Company Act of 1940, Investment Company Names

  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 33 32 0 0 1 0
Annual Time Burden (Hours) 660 640 0 0 20 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
The Commission continues to estimate that there is no external cost burden associated with this rule. The increase in internal burden hours from 640 hours to 660 hours is due to an increase in the estimated number of open and closed-end funds registered with the Commission.

Amy Miller 202 551-4447


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.

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