Rule 30e-1 under the Investment Company Act of 1940, Reports to Stockholders of Management Companies

ICR 201907-3235-008

OMB: 3235-0025

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2019-07-16
ICR Details
3235-0025 201907-3235-008
Historical Inactive 201808-3235-012
SEC IM-270-021
Rule 30e-1 under the Investment Company Act of 1940, Reports to Stockholders of Management Companies
Revision of a currently approved collection   No
Regular
Comment filed on proposed rule and continue 08/21/2019
Retrieve Notice of Action (NOA) 07/17/2019
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
06/30/2022 36 Months From Approved 06/30/2022
23,784 0 23,784
1,028,658 0 1,028,658
147,750,391 0 147,750,391

Rule 30e-1 under the Investment Company Act generally requires a registered management company (“fund”) to transmit to its shareholders, at least semi-annually, a report containing the information that is required to be included in such reports by the fund’s registration statement form under the Investment Company Act.

US Code: 15 USC 80a-29(e) Name of Law: Investment Company Act of 1940
  
PL: Pub.L. 111 - 203 124 Name of Law: Dodd Frank Wall Street Reform and Consumer Protection Act

3235-AM31 Proposed rulemaking 84 FR 14448 04/10/2019

No

1
IC Title Form No. Form Name
Rule 30e-1 under the Investment Company Act of 1940, Reports to Stockholders of Management Companies

Yes
Changing Regulations
No
Under the proposed amendments, the estimated hourly burden associated with rule 30e 1 would increase from 1,028,658 hours to 1,040,246 hours (an increase of 11,588 hours). The estimated cost burden associated with rule 30e 1 would increase from $147,750,391 to $149,295,491 (an increase of $1,545,100). This increase is due to an increase in the estimated burden for registered CEFs that would be required to disclose additional information in their shareholder reports under the proposal.

$0
No
    No
    No
No
No
No
Uncollected
Angela Mokodean 202 551-5490 [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.
07/17/2019


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