Rule 35d-1 Investment Company Names

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
3235-0548_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-08-06	Available
3235-0548_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2026-06-01	Available
Supporting Statement_Rule 35d-1.pdf	Supporting Statement A	Uploaded 2026-05-26	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
35369	Rule 35d-1 under the Investment Company Act of 1940, Investment Company Names		Modified

ICR Details

OMB Control No: 3235-0548	ICR Reference No: 202605-3235-020
Status: Received in OIRA	Previous ICR Reference No: 202309-3235-018
Agency/Subagency: SEC	Agency Tracking No: IM
Title: Rule 35d-1 Investment Company Names
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: 08/06/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	12/31/2026
Responses	10,855	10,291
Time Burden (Hours)	814,865	772,505
Cost Burden (Dollars)	8,169,000	5,833,625

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Abstract: Rule 35d-1 (17 CFR 270.35d-1) under the Investment Company Act of 1940 is designed to address certain broad categories of registered investment company and business development company (together, “funds”) names that, in the Commission’s view, are likely to mislead an investor about a fund’s investments and risks. The rule’s provisions are intended to further that goal. For example, the rule has a reporting requirement—the requirement to provide certain notices to shareholders—that is designed to ensure that when shareholders purchase shares in a fund based, at least in part, on its name, and with the expectation that it will follow the investment policy suggested by that name, they will have sufficient time to decide whether to redeem their shares in the event that the fund decides to pursue a different investment policy. The rule similarly includes recordkeeping requirements that are designed to help ensure compliance with the rule’s requirements and aid in oversight.

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Authorizing Statute(s): US Code: 15 USC 80a-34(d) 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:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 32470	06/01/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 50901	08/06/2026
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
Rule 35d-1 under the Investment Company Act of 1940, Investment Company Names

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ICR Summary of Burden

table that charts list 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	10,855	10,291	0	0	564	0
Annual Time Burden (Hours)	814,865	772,505	0	0	42,360	0
Annual Cost Burden (Dollars)	8,169,000	5,833,625	0	0	2,335,375	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: The change in estimated total annual burden hours, from 772,505 hours to 814,865 hours, an increase of 42,360 hours, is based on a change in the estimate of the number of funds that would be subject to these requirements (from 10,291 funds to 10,855 funds). The change in estimated total annual external cost burden, from $5,833,625 to $8,169,000, an increase of $2,335,375, is based on a change in the estimate of the number of funds that would be subject to these requirements (from 10,291 funds to 10,855 funds), as well as a change in the estimated hourly rate of professionals providing services to the affected funds (from $565/hour to $750/hour).

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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: 08/06/2026

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