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Rule 11a-3 under the Investment Company Act of 1940 - Offers of Exchange by Open-End Investment Companies Other Than Separate Accounts.
Rule 11a-3 under the Investment Company Act of 1940 - Offers of Exchange by Open-End Investment Companies Other Than Separate Accounts.
OMB: 3235-0358
IC ID: 34906
OMB.report
SEC
OMB 3235-0358
ICR 202103-3235-011
IC 34906
( )
⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0358 can be found here:
2024-04-11 - Extension without change of a currently approved collection
Documents and Forms
Document Name
Document Type
EDGAR PIA 2016.pdf
EDGAR PIA
IC Document
EDGAR PIA 2016.pdf
EDGAR PIA
IC Document
Information Collection (IC) Details
View Information Collection (IC)
IC Title:
Rule 11a-3 under the Investment Company Act of 1940 - Offers of Exchange by Open-End Investment Companies Other Than Separate Accounts.
Agency IC Tracking Number:
270-321
Is this a Common Form?
No
IC Status:
Modified
Obligation to Respond:
Required to Obtain or Retain Benefits
CFR Citation:
17 CFR 270.11a-3
Information Collection Instruments:
Document Type
Form No.
Form Name
Instrument File
URL
Available Electronically?
Can Be Submitted Electronically?
Electronic Capability
Federal Enterprise Architecture Business Reference Module
Line of Business:
Economic Development
Subfunction:
Financial Sector Oversight
Privacy Act System of Records
Title:
FR Citation:
Number of Respondents:
419
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 New Statute
Program Change Due to Agency Discretion
Change Due to Adjustment in Agency Estimate
Change Due to Potential Violation of the PRA
Previously Approved
Annual Number of Responses for this IC
419
0
0
-63
0
482
Annual IC Time Burden (Hours)
559
0
0
-83
0
642
Annual IC Cost Burden (Dollars)
0
0
0
0
0
0
Documents for IC
Title
Document
Date Uploaded
EDGAR PIA
EDGAR PIA 2016.pdf
05/24/2018
Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.