Form N-8B-4 under the Investment Company Act of 1940 - Registration Statement of Face-Amount Certificate Companies

Forms and Documents

Document Name	Status

No forms / supporting documents in this ICR. Check IC Document Collections.

IC Document Collections

IC ID	Document Title	Status
34682	Form N-8B-4 under the Investment Company Act of 1940 - Registration Statement of Face-Amount Certificate Companies Form	Modified

ICR Details

OMB Control No: 3235-0247	ICR Reference No: 202512-3235-016
Status: Received in OIRA	Previous ICR Reference No: 202212-3235-026
Agency/Subagency: SEC	Agency Tracking No: IM
Title: Form N-8B-4 under the Investment Company Act of 1940 - Registration Statement of Face-Amount Certificate Companies
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 03/04/2026

	Requested	Previously Approved
Expiration Date	36 Months From Approved	05/31/2026
Responses	1	1
Time Burden (Hours)	10	1
Cost Burden (Dollars)	5,800	0

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Abstract: Section 8(b) of the Investment Company Act of 1940 (the “Act”) requires every registered investment company to file a registration statement with the Commission that includes certain information about the company and recites the company’s policies on certain significant matters. Form N-8B-4 under the Act (17 CFR 274.14) is the form used by face-amount certificate companies to satisfy these requirements. Among other things, the form requires a face-amount certificate company to disclose information about the date and form of organization of the company, securities issued, its controlling persons, and its current and contemplated business. Additionally, the form requires disclosure about the face-amount certificate company’s fundamental policies, including its investment, borrowing, and lending policies. Further, the form requires a face-amount certificate company to provide financial statements as well as disclosures about the company’s investment adviser, depositaries, management personnel, and the compensation paid to directors, officers, and certain employees. The Commission uses the information provided in the collection of information to determine a face-amount certificate company’s compliance with Section 8(b) of the Act.

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Authorizing Statute(s): US Code: 15 USC 80a-8(b) Name of Law: Section 8(b) of the 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:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 58348	12/16/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 10655	03/04/2026
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-8B-4 under the Investment Company Act of 1940 - Registration Statement of Face-Amount Certificate Companies	SEC-1285	Form N-8b-4

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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	1	1	0	0	0	0
Annual Time Burden (Hours)	10	1	0	0	9	0
Annual Cost Burden (Dollars)	5,800	0	0	0	5,800	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: We have revised the estimates to reflect changes in the number of affected entities and in the external cost associated with the information collection requirements. These changes reflect revised estimates and burdens attributable to requirements under the rule. We have increased our estimate of the number of Form N-8B-4 that will be filed annually from zero to one and have accordingly increased the estimated cost burden from $0 to $5,800.

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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: 03/04/2026

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