Rule 482 under the Securities Act of 1933 Advertising by an Investment Company as Satisfying Requirements of Section 10

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Supporting Statement - Rule 482.pdf	Supporting Statement A	Uploaded 2026-05-27	Repair queued
Supporting Statement - Rule 482.pdf	Supporting Statement A	Uploaded 2026-05-27	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
35403	Rule 482 under the Securities Act of 1933 Advertising by an Investment Company as Satisfying Requirements of Section 10		Modified

ICR Details

OMB Control No: 3235-0565	ICR Reference No: 202605-3235-023
Status: Historical Inactive	Previous ICR Reference No: 202412-3235-007
Agency/Subagency: SEC	Agency Tracking No: IM
Title: Rule 482 under the Securities Act of 1933 Advertising by an Investment Company as Satisfying Requirements of Section 10
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 07/27/2026
Retrieve Notice of Action (NOA)	Date Received in OIRA: 05/29/2026
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2028	36 Months From Approved	05/31/2028
Responses	41,953	0	41,953
Time Burden (Hours)	577,896	0	577,896
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 482 (17 CFR 230.482) applies to an advertisement or other sales material (advertisement) with respect to securities of an investment company registered under the Investment Company Act of 1940 or a business development company, that is selling or proposing to sell its securities pursuant to a registration statement that has been filed under the Securities Act of 1933 (the "Act"). Rule 482 contains certain requirements about disclosures provided in qualifying advertisements, and these requirements are intended to encourage the provision to investors of information that is balanced and informative to allow investors to make better informed decisions. Rule 482 advertisements must be filed with either the Commission or the Financial Industry Regulatory Authority ("FINRA").

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Authorizing Statute(s): US Code: 15 USC 77a Name of Law: Securities Act of 1933
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AN41	Proposed rulemaking	91 FR 31022	05/26/2026

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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

table that charts list of burden

IC Title	Form No.	Form Name
Rule 482 under the Securities Act of 1933 Advertising by an Investment Company as Satisfying Requirements of Section 10

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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 proposed amendments to rule 482 would increase the estimated number of responses and, accordingly, increase the estimated number of burden hours. The proposed amendments would newly allow registered non-variable annuity issuers and intermediaries to rely on rule 482 for advertisements related to these products. The estimated number of responses would increase from 41,953 to 43,394 (an increase of 1,441 responses). The estimated number of burden hours would increase from 577,896 to 592,306 (an increase of 14,410 hours). There is no annual external cost burden attributed to rule 482.

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Annual Cost to Federal Government: $0

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: 05/29/2026

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