Rule 482 under the Securities Act of 1933 Advertising by an Investment Company as Satisfying Requirements of Section 10

Forms and Documents

Document Name	Status
33-9408.pdf Supplementary Document	2014-08-26
Rule 482 SUPPORTING STATEMENT 2013.docx Supporting Statement B	2014-08-26
Rule 482 Supporting Statement (2014).docx Supporting Statement A	2014-08-04

IC Document Collections

IC ID	Document Title	Status
35403	Rule 482 under the Securities Act of 1933 Advertising by an Investment Company as Satisfying Requirements of Section 10	Modified

ICR Details

OMB Control No: 3235-0565	ICR Reference No: 201408-3235-002
Status: Historical Inactive	Previous ICR Reference No: 201402-3235-025
Agency/Subagency: SEC	Agency Tracking No: IM-270-508
Title: Rule 482 under the Securities Act of 1933 Advertising by an Investment Company as Satisfying Requirements of Section 10
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 10/14/2014
	Date Received in OIRA: 08/28/2014
Terms of Clearance: Agency will resubmit the collection at the final rule stage and provide a summary of comments received on the collection along with a discussion as to whether the agency incorporated the commenter's suggestion, and if not, why not.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2017	36 Months From Approved	08/31/2017
Responses	59,245	0	59,245
Time Burden (Hours)	305,705	0	305,705
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 482 permits registered investment companies and business development companies to advertise generally, without having to qualify the advertisements as a prospectus under Section 10(a) of the Securities Act of 1933, as amended, or to accompany or precede the advertisement with such a prospectus.

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Authorizing Statute(s): US Code: 15 USC 77j Name of Law: Securities Act of 1933
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK61	Proposed rulemaking	78 FR 36834	06/19/2013

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Federal Register Notices & Comments

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
Rule 482 under the Securities Act of 1933 Advertising by an Investment Company as Satisfying Requirements of Section 10

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Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

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

Burden Reduction Due to:

Short Statement: Currently, the approved annual hour burden for rule 482 is 305,705 hours. The new estimate of the total annual hour burden for the first year is 306,683 hours. The increase in the total annual hour burden is 978 hours. This increase is due to the Commission's estimates of the time costs that will result from our amendments. There is no annual external cost burden attributed to rule 482.

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Annual Cost to Federal Government: $0

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: 08/28/2014

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