Rule 30b1-9 and Form N-PORT

Forms and Documents

Document Name	Status
Form SEC (UNKNOWN) Form N-PORT Form and Instruction	Modified
Rule 30b1-9 (2023) Supporting Statement (Names Rule Final).pdf Supporting Statement A	2023-09-29

IC Document Collections

IC ID	Document Title	Status
217463	Form N-PORT Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0730	ICR Reference No: 202309-3235-017
Status: Received in OIRA	Previous ICR Reference No: 202106-3235-005
Agency/Subagency: SEC	Agency Tracking No: IM-270-776
Title: Rule 30b1-9 and Form N-PORT
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 10/31/2023

	Requested	Previously Approved
Expiration Date	36 Months From Approved	01/31/2025
Responses	143,760	143,760
Time Burden (Hours)	1,929,237	1,839,903
Cost Burden (Dollars)	136,290,893	113,858,133

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Abstract: Rule 30b1-9 requires certain registered investment companies to file portfolio holdings reports on Form N-PORT(17 CFR 274.150) on a monthly basis with the Commission.

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Authorizing Statute(s): US Code: 15 USC 80a-29 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-AM72	Final or interim final rulemaking	88 FR 73755	10/27/2023

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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

IC Title	Form No.	Form Name
Form N-PORT	SEC (UNKNOWN)	FORM N-PORT

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ICR Summary of Burden

	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	143,760	143,760	0	0	0	0
Annual Time Burden (Hours)	1,929,237	1,839,903	0	89,334	0	0
Annual Cost Burden (Dollars)	136,290,893	113,858,133	0	22,432,760	0	0

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 estimated annual burden hours associated with the Form N-PORT collection of information has increased from 1,839,903 hours to 1,929,237 hours (an increase of 89,334 hours). In addition, the cost burden cost would increase from $654,658,288 to $690,927,892 (an increase of $36,269,604). The annual external cost burden would increase from $113,858,133 to $136,290,893 (an increase of $22,432,760). Changes in burden for Form N-PORT would result from the final amendments to that form. The amendments would add a new reporting item regarding the 80% investment policy that a fund would adopt in compliance with rule 35d-1 under the Investment Company Act of 1940 [17 CFR 270.35d-1]. There is a new Form N-PORT reporting item that requires a fund subject to the 80% investment policy requirement to indicate, with respect to each portfolio investment, whether the investment is included in the fund’s calculation of assets in the fund’s 80% basket.

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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.     Yes

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: 10/31/2023

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