Rule 0-2 under the Investment Company Act of 1940, General Requirements of Papers and Applications

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0636 can be found here:

Documents and Forms

Document Name Document Type
EDGAR PIA_Redacted.pdf EDGAR PIA REDACTED IC Document
EDGAR PIA_Redacted.pdf EDGAR PIA REDACTED IC Document
secsorn2.pdf SEC SORN IC Document
secsorn2.pdf SEC SORN IC Document

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	Rule 0-2 under the Investment Company Act of 1940, General Requirements of Papers and Applications	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Required to Obtain or Retain Benefits

CFR Citation: 17 CFR 270.0-2

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: Applications for Registration or Exemption under the Investment Company Act of 1940	FR Citation: 41 FR 5318

Number of Respondents: 129	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	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	129	-55	184
Annual IC Time Burden (Hours)	2,617	-1,121	3,738
Annual IC Cost Burden (Dollars)	6,904,100	-2,958,900	9,863,000

Documents for IC

Title	Document	Date Uploaded
EDGAR PIA REDACTED	EDGAR PIA_Redacted.pdf	08/23/2016
SEC SORN	secsorn2.pdf	08/23/2016

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