Form N-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies

ICR 202112-3235-015

OMB: 3235-0307

Federal Form Document

ICR Details
3235-0307 202112-3235-015
Received in OIRA 202106-3235-001
SEC IM 270-021
Form N-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies
Revision of a currently approved collection   No
Regular 01/13/2022
  Requested Previously Approved
36 Months From Approved 09/30/2024
6,002 6,002
1,854,132 1,672,077
132,940,008 132,940,008

Form N-1A is the form used by open-end management investment companies, except small business investment companies and insurance company separate accounts, to register under the Investment Company Act of 1940 and to register their securities under the Securities Act of 1933. The SEC uses the information filed in registration statements to verify compliance with the federal securities laws.

US Code: 15 USC 80a-8 Name of Law: Investment Company Act of 1940
   US Code: 15 USC 77e Name of Law: Securities Act of 1933
  
None

3235-AM52 Proposed rulemaking 85 FR 70716 11/05/2020

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 6,002 6,002 0 0 0 0
Annual Time Burden (Hours) 1,854,132 1,672,077 0 182,055 0 0
Annual Cost Burden (Dollars) 132,940,008 132,940,008 0 0 0 0
Yes
Miscellaneous Actions
No
The estimated hourly burden associated with Form N 1A has increased from 1,672,077 hours to 1,854,131.7 hours (an increase of 182,054.7 hours). In addition, the cost burden associated with Form N 1A has not changed. The changes in burden hour burdens is due to the estimates of the time burden that will result from our amendments to Form N 1A requiring revisions to the fee table, fee and expense terminology, and risk disclosure as well as the rescission of the legend required by rule 30e-3. These changes in burden also reflect the Commission’s revision and update of burden estimates for all information collections under this OMB control number (whether or not associated with rulemaking changes), and the Commission requested public comment on all information collection burden estimates for this OMB control number.

No
    No
    No
No
No
No
No
Zeena Abdul-Rahman 202 551-4099

  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.
01/13/2022


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