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

ICR 201904-3235-003

OMB: 3235-0158

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2019-08-06
Supplementary Document
2019-08-06
Supplementary Document
2019-08-06
Supporting Statement A
2019-10-31
ICR Details
3235-0158 201904-3235-003
Active 201602-3235-007
SEC IM-270-132
Rule 20a-1 under the Investment Company Act of 1940, Solicitation of Proxies, Consents and Authorizations
Extension without change of a currently approved collection   No
Regular
Approved with change 10/31/2019
Retrieve Notice of Action (NOA) 08/06/2019
Approved with updated Supporting Statement.
  Inventory as of this Action Requested Previously Approved
10/31/2022 36 Months From Approved 11/30/2019
1,333 0 1,196
113,305 0 101,660
39,990,000 0 35,880,000

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.

US Code: 15 USC 80a-20(a) Name of Law: Investment Company Act of 1940
  
None

Not associated with rulemaking

  84 FR 16304 04/18/2019
84 FR 29574 06/24/2019
No

1
IC Title Form No. Form Name
Rule 20a-1 Under the Investment Company Act of 1940, Solicitation of Proxies, Consents and Authorizations

  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
No
No
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.

No
    No
    No
No
No
No
Uncollected
Daniel Chang 2025516792 [email protected]

  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.
08/06/2019


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