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

ICR 202111-3235-003

OMB: 3235-0232

Federal Form Document

Forms and Documents
ICR Details
3235-0232 202111-3235-003
Received in OIRA 201805-3235-009
SEC IM-270-221
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.

US Code: 15 USC 77c(b) and (c) Name of Law: Securities Act of 1933
  
None

Not associated with rulemaking

  86 FR 67757 11/29/2021
87 FR 3141 01/20/2022
No

1
IC Title Form No. Form Name
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 SEC 1807 (8-01) Form 1-E

  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 2 2 0 0 0 0
Annual Time Burden (Hours) 200 200 0 0 0 0
Annual Cost Burden (Dollars) 100,000 100,000 0 0 0 0
No
No

No
    Yes
    Yes
No
No
No
No
Joel Cavanaugh 202 551-3173

  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.
01/20/2022


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