Form N-8A under the Investment Company Act of 1940: Notification of Registration of Investment Companies

Forms and Documents

Document	Type	Status	Availability
Form SEC 1102 Form N-8A (17 CFR 274.10) under the Investment Company Act of 1940: Notification of Registration of Investment Companies	Form and Instruction	Modified	Repair queued
N-8A Supporting Statement.pdf	Supporting Statement A	Uploaded 2019-03-01	Available
30 day notice for Form N-8A.pdf	Supplementary Document	Uploaded 2019-02-12	Available
60 day notice Form N-8A.pdf	Supplementary Document	Uploaded 2019-02-12	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
34498	Form N-8A (17 CFR 274.10) under the Investment Company Act of 1940: Notification of Registration of Investment Companies	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0175	ICR Reference No: 201808-3235-028
Status: Active	Previous ICR Reference No: 201507-3235-007
Agency/Subagency: SEC	Agency Tracking No: IM-270-135
Title: Form N-8A under the Investment Company Act of 1940: Notification of Registration of Investment Companies
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: 06/24/2019
	Date Received in OIRA: 03/01/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2022	36 Months From Approved	06/30/2019
Responses	96	0	92
Time Burden (Hours)	96	0	92
Cost Burden (Dollars)	43,104	0	41,308

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Abstract: Form N-8A is the form used by investment companies to file notifications of registrations with the Commission under the Investment Company Act of 1940.

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Authorizing Statute(s): US Code: 15 USC 80a-8(a) Name of Law: 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:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 47218	09/18/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 59433	11/23/2018
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-8A (17 CFR 274.10) under the Investment Company Act of 1940: Notification of Registration of Investment Companies	SEC 1102	Form N-8A

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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	96	92	0	0	4	0
Annual Time Burden (Hours)	96	92	0	0	4	0
Annual Cost Burden (Dollars)	43,104	41,308	0	0	1,796	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 Form N 8A has increased from 92 to 96 (an increase of 4 hours). This increase is due to an increase in the number of estimated annual filings. Similarly, the estimated cost burden associated with Form N 8A has increased from $43,104 (a decrease of $1,796). This increase is due to an increase in the number of estimated annual filings.

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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: 03/01/2019

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