Form 2-E under the Securities Act of 1933, Report of Sales pursuant to Rule 609 of Regulation E. Rule 609 under the Securities Act of 1933, Report of Sales.

ICR 202012-3235-010

OMB: 3235-0233

Federal Form Document

ICR Details
3235-0233 202012-3235-010
Received in OIRA 201711-3235-006
SEC IM-270-222
Form 2-E under the Securities Act of 1933, Report of Sales pursuant to Rule 609 of Regulation E. Rule 609 under the Securities Act of 1933, Report of Sales.
Extension without change of a currently approved collection   No
Regular 03/19/2021
  Requested Previously Approved
36 Months From Approved 06/30/2021
1 1
4 4
0 0

Rule 609 requires small business investment companies and business development companies that have engaged in limited offerings of securities to report semi-annually on Form 2-E the progress of their offerings, including the number of share sold.

US Code: 15 USC 77c(c) Name of Law: Securities Act
  
None

Not associated with rulemaking

  85 FR 85831 12/29/2020
86 FR 14484 03/16/2021
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 1 1 0 0 0 0
Annual Time Burden (Hours) 4 4 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

No
    Yes
    No
No
No
No
No
Pamela Ellis 202 551-3506

  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.
03/19/2021


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