6c-11 under the Investment Company Act of 1940 (17 CFR 270.6c-11), Exchange-Traded Funds

ICR 201807-3235-013

OMB: 3235-0764

Federal Form Document

Forms and Documents
ICR Details
3235-0764 201807-3235-013
Historical Inactive
SEC IM-270-814
6c-11 under the Investment Company Act of 1940 (17 CFR 270.6c-11), Exchange-Traded Funds
New collection (Request for a new OMB Control Number)   No
Regular
Comment filed on proposed rule 05/15/2019
Retrieve Notice of Action (NOA) 02/07/2019
OMB files this comment in accordance with 5 CFR 1320.11(c). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule.
  Inventory as of this Action Requested Previously Approved
36 Months From Approved
0 0 0
0 0 0
0 0 0

Proposed new rule 6c-11 under the Investment Company Act of 1940 would permit ETFs that satisfy certain conditions to operate without first obtaining an exemptive order from the Commission. The rule is designed to create a consistent, transparent, and efficient regulatory framework for such ETFs and facilitate greater competition and innovation among ETFs.

US Code: 15 USC 80a-6(c), 80a-22(c), and 80a-3 Name of Law: Investment Company Act of 1940
  
US Code: 15 USC 80a-1 Name of Law: Investment Compant Act

3235-AJ60 Proposed rulemaking 83 FR 37332 07/31/2018

No

1
IC Title Form No. Form Name
6c-11 under the Investment Company Act of 1940 (17 CFR 270.6c-11), Exchange-Traded Funds

No
No
Not applicable. The request for approval of the collection of information for this rule has not been previously approved by OMB.

No
    No
    No
No
No
No
Uncollected
John Foley 202 551-6724

  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.
02/07/2019


© 2021 OMB.report | Privacy Policy