Rule 30e-2 (17 CFR 270.30e-2) pursuant to Section 30(e) of the Investment Company Act of 1940 (15 U.S.C. 80a-29(e)), Reports to Shareholders of Unit Investment Trusts

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Supporting Statement (Rule 30e-2).pdf	Supporting Statement A	Uploaded 2019-02-12	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
35244	Rule 30e-2 (17 CFR 270.30e-2) pursuant to Section 30(e) of the Investment Company Act of 1940 (15 U.S.C. 80a-29(e)). Reports to Shareholders of Unit Investment Trusts		Modified

ICR Details

OMB Control No: 3235-0494	ICR Reference No: 201808-3235-011
Status: Active	Previous ICR Reference No: 201612-3235-017
Agency/Subagency: SEC	Agency Tracking No: IM-270-437
Title: Rule 30e-2 (17 CFR 270.30e-2) pursuant to Section 30(e) of the Investment Company Act of 1940 (15 U.S.C. 80a-29(e)), Reports to Shareholders of Unit Investment Trusts
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 05/29/2019
	Date Received in OIRA: 02/12/2019
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2022	36 Months From Approved	03/31/2020
Responses	1,448	0	1,442
Time Burden (Hours)	90,500	0	90,125
Cost Burden (Dollars)	5,786,884	0	14,420,000

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Abstract: Section 30(e) of the Investment Company Act of 1940 (15 U.S.C. 80a-29(e)) and Rule 30e-2 thereunder (17 CFR 270.30e-2) require registered unit investment trusts that invest substantially all of their assets in securities of a management investment company to send to shareholders at least semi-annually a report containing certain financial statements and other information.

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Authorizing Statute(s): US Code: 15 USC 80a-29(e) Name of Law: Section 30(e) of the Investment Company Act of 1940
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AL42	Final or interim final rulemaking	83 FR 29158	06/22/2018

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Rule 30e-2 (17 CFR 270.30e-2) pursuant to Section 30(e) of the Investment Company Act of 1940 (15 U.S.C. 80a-29(e)). Reports to Shareholders of Unit Investment Trusts

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ICR Summary of Burden

table that charts list 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	1,448	1,442	0	0	6	0
Annual Time Burden (Hours)	90,500	90,125	0	0	375	0
Annual Cost Burden (Dollars)	5,786,884	14,420,000	0	0	-8,633,116	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 estimated hourly burden associated with rule 30e 2 has increased from 90,125 hours to 90,500 hours (an increase of 375 hours). The estimated cost burden associated with rule 30e 2 has decreased from $14,420,000 to $5,786,884 (a decrease of $8,633,116). This decrease is due to a decrease in the estimated burden for those UITs that rely on new rule 30e 3.

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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: 02/12/2019

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