Form 1-E-Notification Under
Regulation E; Rule 604-Filing or Notification on Form 1-E; Rule
605-Filing and Use of the Offering Circular
Extension without change of a currently approved collection
No
Regular
01/20/2022
Requested
Previously Approved
36 Months From Approved
02/28/2022
2
2
200
200
100,000
100,000
Regulation E is a series of rules that
provides specific exemptions from the registration provisions of
the Securities Act for SBICs and investment companies that elect to
be treated as business development companies (“BDCs”). Companies
wishing to obtain the exemption must notify the Commission of their
interest in claiming the exemption by filing a notification on Form
1-E.
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.