Investment Company Act Form N-17f-1, Certificate of Accounting of Securities and similar Investments of a Management Investment Company in the Custody of Members of National Securities Exchanges

Forms and Documents

Document Name	Status
Form SEC-2205 Form N-17f-1 Form and Instruction	Modified
3235-0359.pdf Supplementary Document	2023-12-15
3235-0359.pdf Supplementary Document	2023-12-15
Supporting Statement_Form N-17f-1 (2023).pdf Supporting Statement A	2023-10-05

IC Document Collections

IC ID	Document Title	Status
34910	Form N-17f-1 Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0359	ICR Reference No: 202310-3235-004
Status: Received in OIRA	Previous ICR Reference No: 202010-3235-003
Agency/Subagency: SEC	Agency Tracking No: IM-270-316
Title: Investment Company Act Form N-17f-1, Certificate of Accounting of Securities and similar Investments of a Management Investment Company in the Custody of Members of National Securities Exchanges
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 12/15/2023

	Requested	Previously Approved
Expiration Date	36 Months From Approved	03/31/2024
Responses	64	18
Time Burden (Hours)	95	27
Cost Burden (Dollars)	0	0

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Abstract: Form N-17f-1 is the cover sheet for accountant examination certificates filed under rule 17f-1 of the Act. Rule 17f-1 requires the accountant's certificate of each examination be attached to form N-17f-1 and transmitted to the Commission promptly after each examination.

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Authorizing Statute(s): US Code: 15 USC 80a-17f Name of Law: Investment Company Act of 1940
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	88 FR 70691	10/12/2023
30-day Notice:	Federal Register Citation:	Citation Date:
	88 FR 86979	12/15/2023
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Form N-17f-1	SEC-2205	Form N-17f-1

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ICR Summary of Burden

	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	64	18	0	0	46	0
Annual Time Burden (Hours)	95	27	0	0	68	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The estimated total internal annual burden has increased from 27 hours to 95 hours. This increase is based on an adjustment to the calculation of entities that would be required to file Form N-17f-1. Based on a review of filings, and the adjusted calculation methodology, the number of funds increased from 6 to 21, and the hour burdens associated with preparing the filings has not changed.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 12/15/2023

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