Information Collection

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

IC 34906 under ICR 202103-3235-011 · OMB 3235-0358.

⚠️ Notice: This information collection may be referencing outdated material.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

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
EDGAR PIA 2016.pdf EDGAR PIA	IC Document
EDGAR PIA 2016.pdf EDGAR PIA	IC Document

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:

table that charts list of 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 %

table that charts list of burden
	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

table that charts IC Documents
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.