Investment Company Act rule 38a-1, 17 C.F.R. Sec. 270.38a-1, Compliance procedures and practices of registered investment companies.

ICR 201002-3235-028

OMB: 3235-0586

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2010-03-04
Supplementary Document
2010-02-25
Supplementary Document
2010-02-25
Supporting Statement A
2010-02-25
ICR Details
3235-0586 201002-3235-028
Historical Active 200906-3235-005
SEC IM-270-522
Investment Company Act rule 38a-1, 17 C.F.R. Sec. 270.38a-1, Compliance procedures and practices of registered investment companies.
Revision of a currently approved collection   No
Regular
Approved without change 05/09/2010
Retrieve Notice of Action (NOA) 03/04/2010
  Inventory as of this Action Requested Previously Approved
05/31/2013 36 Months From Approved 12/31/2012
4,638 0 4,638
254,703 0 254,214
0 0 0

Rule 38a-1 requires registered investment companies and business development companies to adopt and implement compliance policies and procedures, to review those policies and procedures annually, and to maintain certain records.

US Code: 15 USC 80a-37(a) Name of Law: Investment Company Act of 1940: Powers of Commission
   US Code: 15 USC 80a-30(a) Name of Law: Investment Company Act of 1940: Maintenance of Records
  
None

3235-AK33 Final or interim final rulemaking 75 FR 10060 03/04/2010

Yes

  Total Approved 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 4,638 4,638 0 0 0 0
Annual Time Burden (Hours) 254,703 254,214 0 489 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
Changing Regulations
No
The estimated total annual burden hours increased slightly from 254,214 to 254,703 hours. The increase in hours is attributable to additional compliance requirements related to adoption of a new general liquidity requirement.

$0
No
No
Uncollected
Uncollected
No
Uncollected
Daniel Chang 2025516792 changd@sec.gov

  No

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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
03/04/2010


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