Form N-3 under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of separate accounts organized as management investment companies

Forms and Documents

Document Name	Status
Form SEC 2124 Form N-3 (17 CFR 239.17a) under the Securities Act of 1933 (17 CFR 274.11b) under the Investment Company Act of 1940. Registration Statement of Separate Accounts Organized as Manag. Invest. Companies Form and Instruction	Modified
Form N-3 Supporting Statement.pdf Supporting Statement A	2012-11-21

IC Document Collections

IC ID	Document Title	Status
43001	Form N-3 (17 CFR 239.17a) under the Securities Act of 1933 (17 CFR 274.11b) under the Investment Company Act of 1940. Registration Statement of Separate Accounts Organized as Manag. Invest. Companies Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0316	ICR Reference No: 201211-3235-016
Status: Historical Active	Previous ICR Reference No: 201002-3235-010
Agency/Subagency: SEC	Agency Tracking No: IM 270-281
Title: Form N-3 under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of separate accounts organized as management investment companies
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/30/2012
	Date Received in OIRA: 11/21/2012
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2015	36 Months From Approved	03/31/2013
Responses	14	0	17
Time Burden (Hours)	2,173	0	13,024
Cost Burden (Dollars)	139,300	0	601,400

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Abstract: Form N-3 is the form separate accounts organized as management investment companies use to register under the Investment Company Act of 1940 [15 U.S.C. 80a-1 et seq.] and to offer their securities under the Securities Act of 1933 [15 U.S.C. 77a et seq.]. The SEC uses the information filed in registration statements to verify compliance with the federal securities laws.

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Authorizing Statute(s): US Code: 15 USC 77e Name of Law: Securities Act of 1933
   US Code: 15 USC 80a-8 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:
	77 FR 52078	08/28/2012
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 66884	11/07/2012
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-3 (17 CFR 239.17a) under the Securities Act of 1933 (17 CFR 274.11b) under the Investment Company Act of 1940. Registration Statement of Separate Accounts Organized as Manag. Invest. Companies	SEC 2124	Form N-3

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ICR Summary of Burden

	Total Approved	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	14	17	0	0	-3	0
Annual Time Burden (Hours)	2,173	13,024	0	0	-10,851	0
Annual Cost Burden (Dollars)	139,300	601,400	0	0	-462,100	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: Currently, the approved annual time burden for preparing and filing registration statements on Form N-3 is 13,024 hours based on the previous estimate of 17 responses per year. The new estimate of the total annual hour burden is 2,172.8 hours based on the new estimate of 14 responses per year. The decrease in the total annual hour burden is 10,851.2 hours. This decrease is due to the decrease in our estimates of the annual number of responses for both initial and post-effective amendments. Total Cost Burden. The current approved total cost burden for preparing and filing registration statements on Form N-3 is $601,400, based on the previous estimate of 17 responses per year. Based on the new estimate of 14 responses per year, the new estimate of the total cost burden is $139,300 in external costs per year, resulting in a decrease of $462,100 per year. This decrease is due to the decrease in our estimates of the annual number of responses for both initial and post-effective amendments.

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Annual Cost to Federal Government:

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

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? 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? Uncollected

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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: 11/21/2012

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