Rule 20a-1 under the Investment Company Act of 1940, Solicitation of Proxies, Consents and Authorizations

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Rule 20a-1 60 Day Notice 2018.doc	Supplementary Document	Uploaded 2019-08-06	Available
Rule 20a-1 30 Day Notice 2018.pdf	Supplementary Document	Uploaded 2019-08-06	Available
EDGAR PIA 2016.pdf	Supplementary Document	Uploaded 2019-08-06	Available
Rule 20a-1 Supporting Statement 2018 - revised 10.31.19.pdf	Supporting Statement A	Uploaded 2019-10-31	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34463	Rule 20a-1 Under the Investment Company Act of 1940, Solicitation of Proxies, Consents and Authorizations		Modified

ICR Details

OMB Control No: 3235-0158	ICR Reference No: 201904-3235-003
Status: Active	Previous ICR Reference No: 201602-3235-007
Agency/Subagency: SEC	Agency Tracking No: IM-270-132
Title: Rule 20a-1 under the Investment Company Act of 1940, Solicitation of Proxies, Consents and Authorizations
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 with change	Conclusion Date: 10/31/2019
	Date Received in OIRA: 08/06/2019
Terms of Clearance: Approved with updated Supporting Statement.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2022	36 Months From Approved	11/30/2019
Responses	1,333	0	1,196
Time Burden (Hours)	113,305	0	101,660
Cost Burden (Dollars)	39,990,000	0	35,880,000

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Abstract: Rule 20a-1 under the Investment Company Act of 1940 requires that the solicitation of a proxy, consent, or authorization with respect to a security issued by a registered investment company be in compliance with Regulation 14A, Schedule 14A, and all other rules and regulations adopted pursuant to section 14(a) of the Securities Exchange Act of 1934.

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Authorizing Statute(s): US Code: 15 USC 80a-20(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:
	84 FR 16304	04/18/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 29574	06/24/2019
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 20a-1 Under the Investment Company Act of 1940, Solicitation of Proxies, Consents and Authorizations

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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	1,333	1,196	0	0	137	0
Annual Time Burden (Hours)	113,305	101,660	0	0	11,645	0
Annual Cost Burden (Dollars)	39,990,000	35,880,000	0	0	4,110,000	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 increase in the total annual hour burden and total annual cost burden is due to an increase in the estimated number of proxy solicitations filed annually. The estimated number of proxy solicitations filed annually increased from 1,196 to 1,333.

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Annual Cost to Federal Government:

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: 08/06/2019

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