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Establish Procedures for Remediation of Compliance Issues: 13n-11(c)(6) and (7)

IC 215663 under ICR 202406-3235-017 · OMB 3235-0719.

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IC Title:

Establish Procedures for Remediation of Compliance Issues: 13n-11(c)(6) and (7)

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.13n-11

Information Collection Instruments:

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Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Federal Enterprise Architecture Business Reference Module

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title: Registration 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 1940

FR Citation: 41 FR 41550

Number of Respondents: 3

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	3	-7	10
Annual IC Time Burden (Hours)	780	-1,820	2,600
Annual IC Cost Burden (Dollars)	40,000	-93,333	133,333

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