Form N-3 under the Securities Act of 1933 and under the Investment Company Act of 1940, registration of separate accounts organized as management investment companies.

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form Form 2124 Form N-3 (17 CFR 239.17a) under the Securities Act of 1933 and (17 CFR 274.11b) under the Investment Company Act of 1940. Registration Statement of Separate Accounts Organized as Management Investment	Form and Instruction	Modified	Available
Adopting Release - correction 2.pdf	Supplementary Document	Uploaded 2020-07-08	Available
Adopting Release - correction.pdf	Supplementary Document	Uploaded 2020-07-08	Available
Form N-3 Draft Supporting Statement (new).pdf	Supporting Statement A	Uploaded 2020-07-08	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
43001	Form N-3 (17 CFR 239.17a) under the Securities Act of 1933 and (17 CFR 274.11b) under the Investment Company Act of 1940. Registration Statement of Separate Accounts Organized as Management Investment	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0316	ICR Reference No: 202007-3235-002
Status: Active	Previous ICR Reference No: 202005-3235-008
Agency/Subagency: SEC	Agency Tracking No: IM 270-281
Title: Form N-3 under the Securities Act of 1933 and under the Investment Company Act of 1940, registration of separate accounts organized as management investment companies.
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/13/2020
	Date Received in OIRA: 07/09/2020
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2023	36 Months From Approved	10/31/2020
Responses	8	0	14
Time Burden (Hours)	2,836	0	2,522
Cost Burden (Dollars)	123,114	0	165,340

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Abstract: Form N-3 is the form separate accounts organized as management investment companies use to register under the Investment Company Act of 1940 [15 U.S.C. 80a-1 et seq.] and to offer their securities under the Securities Act of 1933 [15 U.S.C. 77a et seq.]. The SEC uses the information filed in registration statements to verify compliance with the federal securities laws.

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Authorizing Statute(s): US Code: 15 USC 77e Name of Law: Securities Act of 1933
   US Code: 15 USC 80a-8 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:
3235-AK60	Final or interim final rulemaking	85 FR 25964	05/01/2020

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

IC Title	Form No.	Form Name
Form N-3 (17 CFR 239.17a) under the Securities Act of 1933 and (17 CFR 274.11b) under the Investment Company Act of 1940. Registration Statement of Separate Accounts Organized as Management Investment	Form 2124	Form N-3

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ICR Summary of Burden

table that charts list 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	8	14	0	0	-6	0
Annual Time Burden (Hours)	2,836	2,522	0	0	314	0
Annual Cost Burden (Dollars)	123,114	165,340	0	0	-42,226	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: Currently, the approved total annual hour burden for preparing and filing registration statements on Form N-3 is 2,522 internal burden hours. We estimate that the new internal burden would be approximately 2,836 hours annually, reflecting an increase of 314 internal burden hours associated with the amendments. These revised estimates reflect the change in our methodology for estimating burdens attributable to investment options, the increase in estimated burdens associated with the amendments, the increase in the estimated average number of investment options per Form N-3 registration statement from two to three investment options, and current estimates for the number of post-effective amendments filed annually. The current estimate for the external annual cost burdens associated with preparing and filing initial and post-effective registration statements on Form N-3 is $165,340. We estimate that the new external annual cost burden would be approximately $123,144, reflecting a decrease of $42,226 associated with the amendments. This decrease in the total external cost estimate is due to the change in our methodology regarding burdens attributable to investment options.

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Annual Cost to Federal Government: $21,200,000

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: 07/09/2020

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