Investment Company Act Rule 19a-1, 17 CFR 270.19a-1, Written Statement to Accompany Dividend Payments by Management Companies

ICR 202011-3235-003

OMB: 3235-0216

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2021-02-02
Supplementary Document
2021-02-02
Supporting Statement A
2020-11-10
IC Document Collections
IC ID
Document
Title
Status
34600
Modified
ICR Details
3235-0216 202011-3235-003
Received in OIRA 201706-3235-018
SEC IM-270-240
Investment Company Act Rule 19a-1, 17 CFR 270.19a-1, Written Statement to Accompany Dividend Payments by Management Companies
Extension without change of a currently approved collection   No
Regular 02/02/2021
  Requested Previously Approved
36 Months From Approved 05/31/2021
24,038 23,636
24,038 23,636
2,892,693 0

Rule 19a-1 under the Investment Company Act of 1940 requires a written statement to accompany certain distributions made by certain registered investment companies.

US Code: 15 USC 80a Name of Law: Investment Company Act of 1940
  
None

Not associated with rulemaking

  85 FR 75084 11/24/2020
86 FR 7917 02/02/2021
No

1
IC Title Form No. Form Name
Investment Company Act Rule 19a-1

  Total Request 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 24,038 23,636 0 0 402 0
Annual Time Burden (Hours) 24,038 23,636 0 0 402 0
Annual Cost Burden (Dollars) 2,892,693 0 0 0 2,892,693 0
No
No
The estimated annual burden of 24,038 hours represents an increase of 402 hours over the prior estimate of 23,636 hours. The increase in estimated burden hours results from an increase in the estimated number of series of registered investment companies that may be subject to rule 19a-1. The estimated annual cost burden of $2,892,693 represents an increase of $237,536 over the prior estimate of $2,655,157. This cost burden increase results from the increase in hour burden as well as an increase in wages of industry personnel.

$0
No
    No
    Yes
No
No
No
No
Adam Lovell 202 551-6637

  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.
02/02/2021


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