Supporting Statement_Rule 30a- 1

OMB CONTROL NUMBER: 3235-0219
SUPPORTING STATEMENT
For the Paperwork Reduction Act Information Collection Submission for
Rule 30a-1 (17 CFR 270.30a-1) under the Investment Company Act of 1940
A. JUSTIFICATION
1. Necessity of Information Collection
The Commission is seeking to reinstate the Paperwork Reduction Act (“PRA”)
information collection request for rule 30a-1 (17 CFR 270.30a-1) under the
Investment Company Act of 19401 under OMB control number 3235-0219 for the
purpose of discontinuing this information collection. The last Commission request
for OMB approval under this control number was submitted in May of 2000. Rule
30a-1 is an active rule, but it has been amended since the last PRA submission in
2000. The current rule requires investment companies and unit investment trusts to
file an annual report on Form N-CEN at least every twelve months. The burden
associated with the information request outlined within rule 30a-1 is contained
within the information collection request for Form N-CEN under OMB control
number 3235-0729. Thus, there has been no lapse in reporting the burden associated
with rule 30a-1. Since the burden is being reported under an alternative ICR, the
Commission is seeking to reinstate the rule 30a-1 ICR under control number 32350729 in order to have it properly discontinued. Moving forward, the Commission
will reference rule 30a-1 within the ICR for Form N-CEN.
2. Purpose and Use of the Information Collection
Not applicable.
3. Consideration Given to Information Technology
Not applicable.
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15 U.S.C. 80a-1 et seq.

4. Duplication
Not applicable.
5. Effect on Small Entities
Not applicable.
6. Consequences of Not Conducting Collection
Not applicable.
7. Inconsistencies with Guidelines In 5 CFR 1320.5(d)(2)
This collection is not inconsistent with 5 CFR 1320.5(d)(2).

8. Consultation Outside the Agency
The required Federal Register notice with a 60-day comment period soliciting
comments on this collection of information was published. No public comments
were received.
9. Payment or Gift
No payment or gift to respondents was provided.

10. Confidentiality
No assurance of confidentiality was provided.

11. Sensitive Questions
No information of a sensitive nature, including social security numbers, will be
required under this collection of information.
12. Burden of Information Collection
Not applicable.

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13. Cost to Respondents
Not applicable.
14. Costs to Federal Government
Not applicable.
15. Changes in Burden
Not applicable.
16. Information Collection Planned for Statistical Purposes
Not applicable.

17. Approval to Omit OMB Expiration Date
Not applicable.
18. Exceptions to Certification for Paperwork Reduction Act Submissions
The Commission is not seeking an exception to the certification statement.

B.

COLLECTION OF INFORMATION EMPLOYING STATISTICAL
METHODS

Not applicable.

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