6c-11 under the Investment Company Act of 1940 (17 CFR 270.6c-11), Exchange-Traded Funds

ICR 202003-3235-003

OMB: 3235-0764

Federal Form Document

Forms and Documents
Supporting Statement A
IC Document Collections
ICR Details
3235-0764 202003-3235-003
Historical Inactive 201912-3235-001
SEC IM-270-814
6c-11 under the Investment Company Act of 1940 (17 CFR 270.6c-11), Exchange-Traded Funds
Revision of a currently approved collection   No
Comment filed on proposed rule and continue 11/16/2020
Retrieve Notice of Action (NOA) 03/02/2020
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
02/28/2023 36 Months From Approved 02/28/2023
1,735 0 1,735
74,466 0 74,466
24,771,740 0 24,771,740

Rule 6c-11 under the Investment Company Act of 1940 permits ETFs that satisfy certain conditions to operate without first obtaining an exemptive order from the Commission. The rule is designed to create a consistent, transparent, and efficient regulatory framework for such ETFs and facilitate greater competition and innovation among ETFs.

US Code: 15 USC 80a-6(c), 80a-22(c), and 80a-3 Name of Law: Investment Company Act of 1940
US Code: 15 USC 80a-1 Name of Law: Investment Compant Act

3235-AL60 Proposed rulemaking 85 FR 4446 01/24/2020


IC Title Form No. Form Name
6c-11 under the Investment Company Act of 1940 (17 CFR 270.6c-11), Exchange-Traded Funds

Changing Regulations
The total annual hour burden of 81,505.08 hours represents an increase of 7,038.99 hours over the previous burden hour estimate of 74,466.2 hours. The changes in burden hours and external cost burdens are due to the staff’s estimates of the time costs and external costs that would result from the proposed amendment to rule 6c-11.

Sirimal Murkerjee 202 551-3340


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.

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