Rule 12d1-4 Under the Investment Company Act of 1940, Fund of Funds Arrangements

ICR 201902-3235-023

OMB: 3235-0768

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2019-02-13
IC Document Collections
IC ID
Document
Title
Status
234935
New
ICR Details
3235-0768 201902-3235-023
Historical Inactive
SEC IM-270-816
Rule 12d1-4 Under the Investment Company Act of 1940, Fund of Funds Arrangements
New collection (Request for a new OMB Control Number)   No
Regular
Comment filed on proposed rule 06/24/2019
Retrieve Notice of Action (NOA) 04/09/2019
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 rule 12d1-4 would, under specified circumstances, permit a fund to acquire shares of another fund in excess of the limits of section 12(d)(1) of the Investment Company Act of 1940 without obtaining an exemptive order from the Commission.

US Code: 15 USC 80a-6(c) Name of Law: Investment Company Act of 1940
   US Code: 15 USC 80a-12(d)(1)(G) and (J) Name of Law: Investment Company Act of 1940
   US Code: 15 USC 80a-17(b) Name of Law: Investment Company Act of 1940
   US Code: 15 USC 80a-37(a) Name of Law: Investment Company Act of 1940
  
US Code: 15 USC 80a-6(c) Name of Law: Investment Company Act
US Code: 15 USC 80a-12(d)(1)(G) Name of Law: Investment Company Act
US Code: 15 USC 80a-12(d)(1)(J) Name of Law: Investment Company Act
US Code: 15 USC 80a-17(b) Name of Law: Investment Company Act
US Code: 15 USC 80a-37(a) Name of Law: Investment Company Act

3235-AM29 Proposed rulemaking 84 FR 1286 02/01/2019

No

1
IC Title Form No. Form Name
Rule 12d1-4

No
No
The annual burden for this collection of information is estimated to be 47,573 hours and $76,850,924. These figures are the initial estimates for proposed rule 12d1-4.

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.
04/09/2019


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