Form N-CSR under the Securities Exchange Act of 1934 and under the Investment Company Act of 1940, Certified Shareholder Report of Registered Management Investment Companies

Forms and Documents

Document Name	Status
Form SEC 2569 Form N-CSR under the Investment Company Act of 1940 and the Securities Exchange Act of 1934, Certified Shareholder Report of Management Investment Companies Form and Instruction	Modified
Form N-CSR Supporting Statement (2013).pdf Supporting Statement A	2013-11-12
EDGAR PIA_Redacted.pdf Supplementary Document	2013-11-08

IC Document Collections

IC ID	Document Title	Status
35414	Form N-CSR under the Investment Company Act of 1940 and the Securities Exchange Act of 1934, Certified Shareholder Report of Management Investment Companies Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0570	ICR Reference No: 201309-3235-007
Status: Historical Active	Previous ICR Reference No: 201011-3235-002
Agency/Subagency: SEC	Agency Tracking No: IM-270-512
Title: Form N-CSR under the Securities Exchange Act of 1934 and under the Investment Company Act of 1940, Certified Shareholder Report of Registered Management Investment Companies
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 01/21/2014
	Date Received in OIRA: 11/12/2013
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2017	36 Months From Approved	01/31/2014
Responses	6,576	0	6,640
Time Burden (Hours)	177,799	0	154,686
Cost Burden (Dollars)	3,189,771	0	1,556,401

---

Abstract: Form N-CSR is a combined reporting form used by management investment companies to file certified shareholder reports under the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq.) ("Investment Company Act") and under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.)(Securities Exchange Act"). Form N-CSR is to be used for reports under section 30(b)(2) of the Investment Company Act and section 13(a) or 15(d) of the Securities Exchange Act, filed pursuant to rule 30b2-1(a) under the Investment Company Act (17 CFR 270.30b2-1(a)). Form N-CSR reports are to be filed with the Commission not later than 10 days after the transmission to stockholders of any report that is required to be transmitted to stockholders under rule 30e-1 under the Investment Company Act (17 CFR 270.30e-1). The information provided on Form N-CSR may be used by the Commission in its regulatory disclosure review, inspection, and policymaking roles. The information filed with the Commission also permits the verification of compliance with securities law requirements and assures the public availability and dissemination of the information.

---

Authorizing Statute(s): US Code: 15 USC 78m Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78o Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 80a-29 Name of Law: Investment Company Act of 1940
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 43250	07/19/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 78583	09/23/2013
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Form N-CSR under the Investment Company Act of 1940 and the Securities Exchange Act of 1934, Certified Shareholder Report of Management Investment Companies	SEC 2569	Form N-CSR

---

ICR Summary of Burden

	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	6,576	6,640	0	0	-64	0
Annual Time Burden (Hours)	177,799	154,686	0	0	23,113	0
Annual Cost Burden (Dollars)	3,189,771	1,556,401	0	0	1,633,370	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 current estimated total annual time burden for Form N-CSR is 154,686 hours and the new estimated annual time burden for Form N-CSR is 177,799 hours, representing an increase of 23,113 hours per year. This increase is due to the increase in the number of respondents on Form N-CSR. The current estimated total annual cost burden to respondents for outside professionals associated with the collection of data relating to Form N-CSR is $1,556,401 and the new estimated total annual cost burden to respondents is $3,189,771, representing an increase of $1,633,370. This increase is due to the increase in the estimated cost burden per portfolio for Form N-CSR filings. The increased estimated cost burden is based on information provided by industry participants on the costs they incur in connection with Form N-CSR filings.

---

Annual Cost to Federal Government: $19,800,000

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? 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? Uncollected

---

Common Form ICR:  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:

(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: 11/12/2013

---