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 202008-3235-009

OMB: 3235-0336

Federal Form Document

ICR Details
3235-0336 202008-3235-009
Received in OIRA 202004-3235-005
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 02/10/2021
  Requested Previously Approved
36 Months From Approved 07/31/2023
253 253
125,260 125,883
5,842,000 5,917,900

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-AM31 Final or interim final rulemaking 85 FR 33290 06/01/2020

  85 FR 53040 08/27/2020
86 FR 8933 02/10/2021
No

  Total Request 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 253 253 0 0 0 0
Annual Time Burden (Hours) 125,260 125,883 0 0 -623 0
Annual Cost Burden (Dollars) 5,842,000 5,917,900 0 0 -75,900 0
No
No
The estimated hourly burden associated with Form N 14 has decreased from 125,883 hours to 125,260 hours (a decrease of 623 hours). In addition, the cost burden associated with Form N 14 has decreased from $5,917,900 to $5,842,000 (a decrease 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 permitting BDCs to incorporate certain information into the form by reference.

No
    No
    No
No
No
No
No
Joel Cavanaugh 202 551-3173

  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.
02/10/2021


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