Rule 31a-1 under the Investment Company Act of 1940 (17 CFR 270.31a-1)

OMB 3235-0178

Rule 31a-1 imposes requirements concerning records to be maintained by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.

The latest form for Rule 31a-1 under the Investment Company Act of 1940 (17 CFR 270.31a-1) expires 2021-04-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0178.pdf Supplementary Document
3235-0178.pdf Supplementary Document
Rule 31a-1 Extension (Supporting Statement) (2023) .pdf Supporting Statement A
Rule 31a-1

All Historical Document Collections

202307-3235-023 Approved without change	Extension without change of a currently approved collection	2023-11-13
202009-3235-004	Extension without change of a currently approved collection	2020-12-09
201707-3235-007 Approved without change	Extension without change of a currently approved collection	2018-02-23
201409-3235-046 Approved without change	Extension without change of a currently approved collection	2014-11-20
201108-3235-022 Approved without change	Extension without change of a currently approved collection	2011-09-21
200808-3235-005 Approved without change	Extension without change of a currently approved collection	2008-12-15
200602-3235-001 Approved without change	Extension without change of a currently approved collection	2006-02-06
200301-3235-016 Approved without change	Extension without change of a currently approved collection	2003-01-29
200002-3235-008 Approved without change	Extension without change of a currently approved collection	2000-02-18
199701-3235-007 Approved without change	Extension without change of a currently approved collection	1997-01-02
199401-3235-009 Approved without change	Revision of a currently approved collection	1994-01-27
199302-3235-016 Approved without change	Revision of a currently approved collection	1993-02-02
199005-3235-005 Approved without change	Revision of a currently approved collection	1990-05-18
198705-3235-002 Approved without change	Revision of a currently approved collection	1987-05-08
198610-3235-015 Approved with change	No material or nonsubstantive change to a currently approved collection	1986-10-27
198401-3235-006 Approved without change	Reinstatement with change of a previously approved collection	1984-01-31
198305-3235-009 Approved without change	Extension without change of a currently approved collection	1983-05-09
198207-3235-010 Approved without change	Extension without change of a currently approved collection	1982-07-27
198110-3235-037 Approved without change	New collection (Request for a new OMB Control Number)	1981-10-23