Form N-14, for the registration of securities under the Securities Act of 1933 issued in business combination transaction by investment companies and business development companies.

ICR 202002-3235-004

OMB: 3235-0336

Federal Form Document

ICR Details
3235-0336 202002-3235-004
Historical Inactive 201901-3235-004
SEC IM-270-297
Form N-14, for the registration of securities under the Securities Act of 1933 issued in business combination transaction by investment companies and business development companies.
Revision of a currently approved collection   No
Regular
Comment filed on proposed rule and continue 04/06/2020
Retrieve Notice of Action (NOA) 02/11/2020
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
08/31/2022 36 Months From Approved 08/31/2022
253 0 253
125,820 0 125,820
5,842,000 0 5,842,000

Form N-14 is the registration statement used by investment companies and business development companies to register under the Securities Act of 1933 securities to be issued in mergers and other forms of business combinations. Form N-14 provides investors with material information regarding such securities. The information filed also permits the SEC to verify compliance with securities laws.

US Code: 15 USC 77e Name of Law: Securities Act of 1933
  
None

3235-AM00 Proposed rulemaking 82 FR 50988 11/02/2017

No

Yes
Changing Regulations
No
The estimated hourly burden associated with Form N 14 has increased from 125,820 hours to 125,883 hours (an increase of 63 hours). In addition, the cost burden associated with Form N 14 has increased from $5,842,000 to $5,917,900 (an increase of $75,900). The changes in burden hours and external cost burdens are due to the estimates of the time burden and external costs that will result from our amendments affecting Form N 14 regarding hyperlinking.

No
    No
    No
No
No
No
Uncollected
John Lee 202 551-5689

  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.
02/11/2020


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