Rule 139b Disclosure of Standardized Performance

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
3235-0769.pdf	Supplementary Document	Uploaded 2022-09-18	Repair queued
3235-0769.pdf	Supplementary Document	Uploaded 2022-09-18	Repair queued
Rule 139b (2022) Supporting Statement.pdf	Supporting Statement A	Uploaded 2022-07-06	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
234929	Rule 139b Disclosure of Standardized Performance		Modified

ICR Details

OMB Control No: 3235-0769	ICR Reference No: 202207-3235-011
Status: Historical Active	Previous ICR Reference No: 201909-3235-019
Agency/Subagency: SEC	Agency Tracking No: IM-270-815
Title: Rule 139b Disclosure of Standardized Performance
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 11/03/2022
Retrieve Notice of Action (NOA)	Date Received in OIRA: 09/18/2022
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2025	36 Months From Approved	12/31/2022
Responses	4,834	0	6,500
Time Burden (Hours)	14,379	0	20,731
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 139b extends the safe harbor under rule 139 of the Securities Act to research reports for covered investment funds.

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Authorizing Statute(s): US Code: 15 USC 77a Name of Law: Securities Act of 1930
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 41370	07/12/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 57001	09/16/2022
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Rule 139b Disclosure of Standardized Performance

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ICR Summary of Burden

table that charts list of burden

	Total Approved	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	4,834	6,500	0	0	-1,666	0
Annual Time Burden (Hours)	14,379	20,731	0	0	-6,352	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The total annual hour burden is 14,379 hours. The decrease in burden hours over the previous burden estimate of 20,731 is due to: (i) the decrease in Rule 139b filings; (ii) a decrease in the number of estimated broker-dealer respondents; and (iii) the cessation of the initial three year compliance period and its corresponding affects upon the previous internal burden hours. Additionally, we do not believe there to be an external cost burden associated with rule 139b.

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 09/18/2022

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