Rule 30b1-10 (17 CFR 270.30b1-10) under the Investment Company Act of 1940, "Current report for open-end management investment companies" and Form N-LIQUID, "Current report, open-end investment compan

Forms and Documents

Document Name	Status
3235-0754 30 Day Notice.pdf Supplementary Document	2020-08-27
3235-0754 60 Day Notice.pdf Supplementary Document	2020-08-27
Rule 30b1-10 supporting statement (11-12-20).pdf Supporting Statement A	2020-11-13

IC Document Collections

IC ID	Document Title	Status
224869	Investment Company Act Rule 30b1-10 and Form N-LIQUID	Modified

ICR Details

OMB Control No: 3235-0754	ICR Reference No: 202005-3235-024
Status: Active	Previous ICR Reference No: 201703-3235-013
Agency/Subagency: SEC	Agency Tracking No: IM-270-803
Title: Rule 30b1-10 (17 CFR 270.30b1-10) under the Investment Company Act of 1940, "Current report for open-end management investment companies" and Form N-LIQUID, "Current report, open-end investment compan
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: 11/16/2020
	Date Received in OIRA: 08/27/2020
Terms of Clearance: Supporting statement and ROCIS burden tables clarified during review

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2023	36 Months From Approved	12/31/2020
Responses	30	0	69
Time Burden (Hours)	150	0	941
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 30b1-10 requires investment companies, other than those regulated as money market funds under rule 2a-7 of the Investment Company Act, that experience certain specified events to file Form N-LIQUID with the Commission, generally within one business day after occurrence of the event. Form N-LIQUID is the form that sets forth the information required to be provided under rule 30b1-10.

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Authorizing Statute(s): US Code: 15 USC 80a 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:
	85 FR 36657	06/17/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 53034	08/27/2020
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Investment Company Act Rule 30b1-10 and Form N-LIQUID

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ICR Summary 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	30	69	0	0	-39	0
Annual Time Burden (Hours)	150	941	0	0	-791	0
Annual Cost Burden (Dollars)	0	0	0	0	0	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: Rule 30b1-10 has a current annual burden of 941 hours. The hour burden associated with rule 30b1-10 has decreased by 791 hours to a total of 150 hours since our last burden analysis. This decrease is due to a change in our estimate of the number of annual responses from 69 to 30.

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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? No

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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: 08/27/2020

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