Information Collection

Form N-5 (17 CFR 239.24) under the Securities Act of 1933 (17 CFR 239.24) and the Investment Company Act of 1940 (17 CFR 274.5). Registration Statement of Small Business Investment Company

IC 34489 under ICR 202109-3235-022 · OMB 3235-0169.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0169 can be found here:

2024-09-20 - Extension without change of a currently approved collection

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form SEC-993 Form N-5 (17 CFR 239.24) under the Securities Act of 1933 (17 CFR 239.24) and the Investment Company Act of 1940 (17 CFR 274.5). Registration Statement of Small Business Investment Company	Form and Instruction
SEC-993 Form N-5 formn-5.pdf www.sec.gov/about/forms/formn-5.pdf	Form and Instruction
SEC-993 Form N-5 formn-5.pdf www.sec.gov/about/forms/formn-5.pdf	Form and Instruction
EDGAR PIA_Redacted.pdf EDGAR PIA REDACTED	IC Document
EDGAR PIA_Redacted.pdf EDGAR PIA REDACTED	IC Document
secsorn1.pdf SEC SORN 1	IC Document
secsorn1.pdf SEC SORN 1	IC Document

Information Collection (IC) Details

View Information Collection (IC)

IC Title:

Form N-5 (17 CFR 239.24) under the Securities Act of 1933 (17 CFR 239.24) and the Investment Company Act of 1940 (17 CFR 274.5). Registration Statement of Small Business Investment Company

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 274.5 17 CFR 239.24

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
Form and Instruction	SEC-993	Form N-5	formn-5.pdf	http://www.sec.gov/about/forms/formn-5.pdf	Yes	Yes	Fillable Fileable

Federal Enterprise Architecture Business Reference Module

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title: SEC SORN 1Registration Statements Filed Pursuant to Provisions of the Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, and Investment Company Act of

FR Citation: 41 FR 41550

Number of Respondents: 1

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	1	0	1
Annual IC Time Burden (Hours)	117	0	117
Annual IC Cost Burden (Dollars)	12,524	2,424	10,100

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
EDGAR PIA REDACTED	EDGAR PIA_Redacted.pdf	11/10/2015
SEC SORN 1	secsorn1.pdf	11/18/2015

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