Investment Company Interactive Data

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Investment Company Interactive Data (P-ESG) Supporting Statement.pdf	Supporting Statement A	Uploaded 2022-10-20	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
185342	Registered Investment Company Interactive Data		Modified

ICR Details

OMB Control No: 3235-0642	ICR Reference No: 202210-3235-028
Status: Historical Inactive	Previous ICR Reference No: 202202-3235-031
Agency/Subagency: SEC	Agency Tracking No: IM-270-580
Title: Investment Company Interactive Data
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 12/19/2022
Retrieve Notice of Action (NOA)	Date Received in OIRA: 11/02/2022
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2025	36 Months From Approved	04/30/2025
Responses	19,817	0	19,817
Time Burden (Hours)	252,684	0	252,684
Cost Burden (Dollars)	15,449,450	0	15,449,450

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Abstract: The Investment Company Interactive Data collection of information references current requirements for registered investment companies and BDCs that must submit to the Commission in Inline XBRL format certain information that is included in fund registration statements, post-effective amendments thereto, prospectuses filed pursuant to Rule 424(b) or Rule 497(c) or (e) under the Securities Act, reports and schedules filed pursuant to the requirements of the Securities Exchange Act of 1934 that are incorporated by reference into a fund’s registration statement, and for BDCs, their financial statements, pursuant to specified form and rule requirements. The Commission recently proposed to amend certain rules and forms to require registered investment companies and BDCs to provide specified information regarding their environmental, social, and governance (“ESG”) investment practices in their registration statements and annual reports. The proposed amendments would also require funds to file the proposed ESG-related disclosures in Inline XBRL.

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Authorizing Statute(s): US Code: 15 USC 77a et seq Name of Law: Securities Act of 1933
   US Code: 15 USC 78a Name of Law: Securities Exchange of 1934
   US Code: 15 USC 80a-1 et seq. Name of Law: Investment Company Act of 1940
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AM96	Proposed rulemaking	87 FR 36654	06/17/2022

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Federal Register Notices & Comments

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
Registered Investment Company Interactive Data

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Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

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

Burden Reduction Due to:

Short Statement: The proposed rule and form amendments would require registered open- and closed-end funds, BDCs, and UITs to disclose additional information regarding their ESG investment practices in their registration statements and annual reports, and to tag such disclosures in Inline XBRL. The Commission anticipates that the proposed ESG-related disclosure and corresponding structured data requirements would increase the internal burden hours and external professional costs required to collect, prepare, review, and retain records relating to same.

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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: 11/02/2022

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