Rule 11a-3 under the Investment Company Act of 1940 - Offers of Exchange by Open-End Investment Companies Other Than Separate Accounts.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0358 can be found here:

Documents and Forms

Document Name Document Type
EDGAR PIA 2016.pdf EDGAR PIA IC Document
EDGAR PIA 2016.pdf EDGAR PIA IC Document

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	Rule 11a-3 under the Investment Company Act of 1940 - Offers of Exchange by Open-End Investment Companies Other Than Separate Accounts.	Agency IC Tracking Number:	270-321

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Required to Obtain or Retain Benefits

CFR Citation: 17 CFR 270.11a-3

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 419	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	419	-63	482
Annual IC Time Burden (Hours)	559	-83	642
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

Title	Document	Date Uploaded
EDGAR PIA	EDGAR PIA 2016.pdf	05/24/2018

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.