Rule 17g-1 (17 CFR 270.17g-1) under the Investment Company Act of 1940: Bonding of Officers and Employees of Registered Management Investment Companies

ICR 202101-3235-027

OMB: 3235-0213

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2021-04-21
Supplementary Document
2021-04-21
Supporting Statement A
2021-01-27
IC Document Collections
IC ID
Document
Title
Status
34592
Modified
ICR Details
3235-0213 202101-3235-027
Received in OIRA 201802-3235-018
SEC IM-270-208
Rule 17g-1 (17 CFR 270.17g-1) under the Investment Company Act of 1940: Bonding of Officers and Employees of Registered Management Investment Companies
Extension without change of a currently approved collection   No
Regular 04/21/2021
  Requested Previously Approved
36 Months From Approved 07/31/2021
2,200 3,173
4,400 6,346
0 0

Rule 17g-1 (17 CFR 270.17g-1) under the Investment Company Act of 1940 provides the fidelity bonding requirements for registered management investment companies.

US Code: 15 USC 80a-17(g) Name of Law: Investment Company Act of 1940
  
None

Not associated with rulemaking

  86 FR 8666 02/08/2021
86 FR 20777 04/21/2021
No

1
IC Title Form No. Form Name
Investment Company Act Rule 17g-1

  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 2,200 3,173 0 0 -973 0
Annual Time Burden (Hours) 4,400 6,346 0 0 -1,946 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The change in estimated total annual burden hours, from 6,346 hours to 4,400 hours (a decrease of 1,946 hours) is based on a change in the number of active funds registered with the Commission (from 3,173 to 2,200). Commission staff continues to estimate that the filing and reporting requirements of rule 17g-1 do not entail any external cost burdens.

$0
No
    No
    No
No
No
No
No
Amy Miller 202 551-4447

  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.
04/21/2021


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