Form N-Q--Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company

Forms and Documents

Document Name	Status
Form Form 2455 Form N-Q - Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Form and Instruction	Modified
N-Q 2018 supporting statement.pdf Supporting Statement A	2018-11-13
EDGAR PIA 2016.pdf Supporting Statement B	2018-11-13

IC Document Collections

IC ID	Document Title	Status
35431	Form N-Q - Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0578	ICR Reference No: 201807-3235-008
Status: Active	Previous ICR Reference No: 201506-3235-009
Agency/Subagency: SEC	Agency Tracking No: IM-270-519
Title: Form N-Q--Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 02/12/2019
	Date Received in OIRA: 11/13/2018
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2022	36 Months From Approved	03/31/2019
Responses	23,920	0	22,696
Time Burden (Hours)	310,960	0	295,048
Cost Burden (Dollars)	0	0	0

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Abstract: Form N-Q (17 CFR 249.332 and 274.130) is a reporting form used by registered management investment companies, other than small business investment companies registered on Form N-5 (“funds”), under Section 30(b) of the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq.) (“Investment Company Act”) and Sections 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Pursuant to Rule 30b1-5 under the Investment Company Act, funds are required to file quarterly reports with the Commission on Form N-Q not more than 60 days after the close of the first and third quarters of each fiscal year containing their complete portfolio holdings.

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Authorizing Statute(s): US Code: 15 USC 78o Name of Law: Section 15(d) of the Securities Exchange Act of 1934
   US Code: 15 USC 80a-29 Name of Law: Section 30(b) of the Investment Company Act of 1940
   US Code: 15 USC 78m Name of Law: Sections 13 of the Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 42949	08/24/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 55222	11/02/2018
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-Q - Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company	Form 2455	Form N-Q

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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	23,920	22,696	0	0	1,224	0
Annual Time Burden (Hours)	310,960	295,048	0	0	15,912	0
Annual Cost Burden (Dollars)	0	0	0	0	0	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 total annual hour burden of 310,960 hours represents an increase 15,912 hours over the previous burden hour estimate of 295,048 hours. This increase is primarily due to an increase in the estimated number of funds filing Form N-Q reports per year.

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Annual Cost to Federal Government: $0

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.     No

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: 11/13/2018

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