OMB control number
Rule 35d-1 Investment Company Names
OMB 3235-0548 · SEC.
OMB 3235-0548
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.
The latest form for Rule 35d-1 Investment Company Names expires 2029-10-31 and is listed under ICR 202605-3235-020.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 3235-0548_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 3235-0548_60-Day Collection Notice.pdf | Supplementary Document |
| Supporting Statement_Rule 35d-1.pdf | Supporting Statement A |
 Rule 35d-1 under the Investment Company Act of 1940, Investment Company Names |
Information collection |