Policies and Procedures: 13n-5(b)(1), (2), (3), and (5) and 13n-6

Rules 13n-1 to 13n-11 and Form SDR

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0719 can be found here:

Documents and Forms

Document Name Document Type

no available documents/forms check other ICs listed under this ICR

Information Collection (IC) Details

IC Title:	Policies and Procedures: 13n-5(b)(1), (2), (3), and (5) and 13n-6	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Unchanged

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.13n-5 17 CFR 240.13n-6

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title: Registration Statements Filed Pursuant to Provisions of the Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, and Investment Company Act of 1940	FR Citation: 41 FR 41550

Number of Respondents: 10	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Approved	Previously Approved
Annual Number of Responses for this IC	10	10
Annual IC Time Burden (Hours)	6,500	6,500
Annual IC Cost Burden (Dollars)	333,333	333,333

Documents for IC

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Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.